SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORMN-6
REGISTRATION STATEMENT
UNDER
| THE SECURITIES ACT OF 1933 | ☐ | |||
| Post-Effective Amendment No. 2 | ☐ | |||
| (FileNo. 333-227507) |
and/or
REGISTRATION STATEMENT
UNDER
| THE INVESTMENT COMPANY ACT OF 1940 | ☐ | |||
| Amendment No. 93 | ☒ |
(FileNo. 811-05213)
(Check appropriate box or boxes.)
Exact Name of Registrant:
RiverSource of New York Account 8
Name of Depositor:
RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK
Address of Depositor’s Principal Executive Offices, Zip Code
Depositor’s Telephone Number, including Area Code:
20 Madison Avenue Extension
Albany, NY 12203
(800)541-2251
Name and Address of Agent for Service:
Dixie Carroll, Esq.
5229 Ameriprise Financial Center
Minneapolis, MN 55474
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d). This Post-Effective Amendment relates to RiverSource® Variable Universal Life 6 Insurance.
EXPLANATORY NOTE
This Post-Effective Amendment No. 2 to the Registration Statement on FormN-6 (FileNo. 333-227507) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of adding exhibits to such Registration Statement. Accordingly, this Post-Effective Amendment No. 2 consists only of a facing page, this explanatory note, and Part C of the Registration Statement on FormN-6. This Post-Effective Amendment No. 2 does not change the form of any prospectus or Statement of Additional Information included in post-effective amendments previously filed with the Securities and Exchange Commission (the “SEC”) As permitted by Rule 462(d), This Post-Effective Amendment No. 2 shall become effective upon filing with the SEC.
PART C: OTHER INFORMATION
Item 26. Exhibits—Except as noted below, all required exhibits have been previously filed and are incorporated by reference from prior Registration Statements of the Depositor.
(a)(1) Resolution of Board of Directors of IDS Life of New York authorizing the Trust, adopted September 12, 1985, filed as Exhibit 1.A.(1) to Registrant’s FormN-8B-2 with Post-Effective Amendment No. 11, FileNo. 33-15290 is incorporated herein by reference.
(a)(2) Consent in writing to establish additional subaccounts filed electronically as Exhibit 10 to Post-Effective Amendment No. 1 to the Registration StatementNo. 333-44644 is incorporated herein by reference.
(a)(3) Board Resolution for establishment of 81 subaccounts dated March 20, 2005, filed electronically as Exhibit (a)(3) to Registrant’s Post-Effective Amendment No. 21 is incorporated herein by reference.
(a)(4) Resolution of the Board of Directors of IDS Life Insurance Company of New York adopting and approving Agreement and Plan of Merger band subsequent name changes, dated Aug. 29, 2006, filed electronically as Exhibit 1.11 to Post-Effective Amendment No. 22 to Registration StatementNo. 333-91691, is incorporated herein by reference.
(a)(5) Board Resolution for establishment of 91 subaccounts dated April 24, 2007, filed electronically as Exhibit (a)(5) to Post-Effective Amendment No. 23 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(a)(6) Board Resolution for establishment of 101 subaccounts dated April 15, 2011, filed electronically as Exhibit (a)(5) to Post-Effective Amendment No. 25 to Registration StatementNo. 333-42257 is incorporated herein by reference.
(a)(7) Board Resolution for establishment of 67 new subaccounts dated October 19, 2012, filed electronically as Exhibit (a)(7) toPre-Effective Amendment No. 1 to Registration StatementNo. 333-183262 is incorporated herein by reference.
(a)(8) Board Resolution for establishment of 21 subaccounts dated April 28, 2014, filed electronically as Exhibit (a) (6) to Post-Effective Amendment No. 28 to Registration Statement333-42257 is incorporated herein by reference.
(a)(9) Board Resolution for establishment of 10 subaccounts dated April 28, 2015 filed electronically to Post-Effective Amendment No. 29 to Registration StatementNo. 333-42257 is incorporated herein by reference.
(b) Not applicable.
(c) Form of Principal Underwriter Agreement for RiverSource Life Insurance Co. of New York for Variable Annuities and Variable Life Insurance filed electronically as Exhibit 3.1 to the Initial Registration Statement on FormN-4 for RiverSource of New York Variable
Annuity Account 2 (previously ACL Variable Annuity Account 2), RiverSource Endeavor Select (SM) Variable Annuity, RiverSource Innovations(SM) Select Variable Annuity and RiverSource Innovations(SM) Variable Annuity, on or about Jan. 2, 2007, is incorporated herein by reference.
(d)(1) Copy of Flexible Premium Variable Life Insurance Policy filed electronically as Exhibit (d)(1) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(d)(2) Copy of Waiver of Monthly Deduction Rider for Total Disability is filed herewith.
(d)(3) Copy of Waiver of Specified Premium Rider for Total Disability filed electronically as Exhibit (d)(3) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(d)(4) Copy of Children’s Level Term Insurance Rider filed electronically as Exhibit (d)(4) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(d)(5) Copy of Accidental Death Benefit Rider filed electronically as Exhibit (d)(5) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(d)(6) Copy of Accelerated Benefit Rider for Terminal Illness filed electronically as Exhibit (d)(12) to Post-Effective Amendment No. 29 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(d)(7) Copy of Automatic Increase Benefit Rider filed electronically as Exhibit 1.A.(5)(f) to Post-Effective Amendment No. 1 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(d)(8) Copy of Overloan Protection Benefit filed electronically as Exhibit (d)(8) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(d)(9) Copy of AdvanceSource (R) Accelerated Benefit Rider for Chronic Illness filed electronically as Exhibit (d)(11) to Post-Effective Amendment No. 29 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(d)(10) Copy of Endorsement to the Flexible Premium Variable Life Insurance Policy (VUL IV/VULIV-ES) filed electronically as Exhibit (d)(13) to Post-Effective Amendment No. 29 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(d)(11) Copy of Indexed Account Endorsement filed electronically as Exhibit (d)(11) to Post-Effective Amendment No. 7 to Registration StatementNo. 333-183262 is incorporated herein by reference.
(d)(12) Copy of Accounting Value Increase Rider filed electronically as Exhibit (d)(12) to Post-Effective Amendment No. 6 to Registration StatementNo. 333-183262 is incorporated herein by reference.
(d)(13) Copy of Death Benefit Option 3 Endorsement filed electronically as Exhibit (d)(13) to Post-Effective Amendment No. 6 to Registration StatementNo. 333-183262 is incorporated herein by reference.
(e)(1) Form of Application for Life and Disability Income Insurance filed electronically as Exhibit (e)(1) to Initial Registration Statement on FormN-6 on or about August 13, 2012 is incorporated herein by reference.
(e)(2) Form of Application for the Accelerated Benefit Rider for Chronic Illness filed electronically as Exhibit (e)(2) to Post-Effective Amendment No. 29 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(e)(3) Form of Distribution of Policy Value Endorsement is filed electronically herewith as Exhibit (e)(3) to Post-Effective Amendment No. 2 to Registration StatementNo. 333-227507.
(f)(1) Copy of Charter of RiverSource Life Insurance Co. of New York dated Dec. 31, 2006, filed electronically as Exhibit 27(f)(1) to Post-Effective Amendment No. 22 to Registration Statement333-44644 is incorporated herein by reference.
(f)(2) Copy of Amended and RestatedBy-Laws of RiverSource Life Insurance Co. of New York filed electronically as Exhibit 27(f)(2) to Post-Effective Amendment No. 22 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(g)(1) Redacted copy of Automatic YRT Reinsurance Agreement between IDS Life Insurance Company of New York and Reinsurer, dated August 18, 2003, and identified as Treaty Number9141-00-00 filed electronically as Exhibit (g)(1) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(2) Redacted copy of Amendment to Automatic YRT Agreement dated August 18, 2003, and identified as Treaty Number9141-00-00, between IDS Life Insurance Company of New York and Reinsurer, effective January 1, 2005, filed electronically as Exhibit (g)(2) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(3) Redacted copy of Second Amendment to Automatic YRT Agreement dated August 18, 2003, and identified as Treaty Number9141-00-00 between IDS Life Insurance Company of New York and Reinsurer filed electronically as Exhibit (g)(3) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(4) Redacted copy of Automatic YRT Reinsurance Agreement between IDS Life Insurance Company of New York and Reinsurer, dated August 18, 2003, and identified as Treaty Number 3092 filed electronically as Exhibit (g)(4) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(5) Redacted copy of Amendment to Automatic YRT Agreement dated August 18, 2003, and identified as Treaty Number 3092, between IDS Life Insurance Company of New York and Reinsurer, effective January 1, 2005, filed electronically as Exhibit (g)(5) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(6) Redacted copy of Amendment to Automatic YRT Agreement dated August 18, 2003, and identified as Treaty Number 3092, between IDS Life Insurance Company of New York and Reinsurer, effective January 1, 2005, filed electronically as Exhibit (g)(6) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(7) Redacted copy of Amendment to Automatic YRT Agreement dated August 18, 2003, and identified as Treaty Number 3092 between IDS Life Insurance Company of New York and Reinsurer filed electronically as Exhibit (g)(7) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(8) Redacted copy of Automatic YRT Reinsurance Agreement between IDS Life Insurance Company of New York and Reinsurer, dated August 18, 2003, and identified as Treaty Number 1158 filed electronically as Exhibit (g)(8) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(9) Redacted copy of Automatic YRT Reinsurance Agreement between IDS Life Insurance Company of New York and Reinsurer, dated August 18, 2003, and identified as Treaty Number 0322-6386 filed electronically as Exhibit (g)(9) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(10) Redacted copy of Amendment Number 1 to the Automatic YRT Reinsurance Agreement dated August 18, 2003, between IDS Life Insurance Company of New York and Reinsurer, effective January 1, 2004, filed electronically as Exhibit (g)(10) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(11) Redacted copy of Automatic and Facultative Reinsurance Agreement, Yearly Renewable Term, between IDS Life Insurance Company of New York and Reinsurer, dated November 15, 2000, filed electronically as Exhibit (g)(11) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(12) Redacted copy of Automatic and Facultative Reinsurance Agreement, Yearly Renewable Term, between IDS Life Insurance Company of New York and Reinsurer, dated November 15, 2000, filed electronically as Exhibit (g)(12) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(13) Redacted copy of Automatic and Facultative Reinsurance Agreement, Yearly Renewable Term, between IDS Life Insurance Company of New York and Reinsurer, dated November 15, 2000, filed electronically as Exhibit (g)(13) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(14) Redacted copy of Amendment to Automatic and Facultative Reinsurance Agreement dated November 15, 2000, and identified as Treaty Number7865-00-00 between IDS Life Insurance Company of New York and Reinsurer filed electronically as Exhibit (g)(14) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(15) Redacted copy of Automatic and Facultative Reinsurance Agreement, Yearly Renewable Term, between IDS Life Insurance Company of New York and Reinsurer, dated November 15, 2000, filed electronically as Exhibit (g)(15) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(16) Redacted copy of Amendment to Automatic and Facultative Reinsurance Agreement dated November 15, 2000, between IDS Life Insurance Company of New York and Reinsurer filed electronically as Exhibit (g)(16) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(17) Redacted copy of Automatic YRT Reinsurance Agreement between IDS Life Insurance Company of New York and Reinsurer, dated August 18, 2003, and identified as Treaty Number7782-1 filed electronically as Exhibit (g)(17) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(18) Redacted copy of Addendum Number 2 to the Reinsurance Agreement dated August 18, 2003, and identified as Treaty Number7782-1 between IDS Life Insurance Company of New York and Reinsurer filed electronically as Exhibit (g)(18) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(g)(19) Redacted copy of Automatic and Facultative Reinsurance Agreement, Yearly Renewable Term, between IDS Life Insurance Company of New York and Reinsurer, dated November 15, 2000, and identified as Agreement Number 0322-2537 filed electronically as Exhibit (g)(19) to Registrant’s Post-Effective Amendment No. 22, FileNo. 333-44644 is incorporated herein by reference.
(h)(1) Copy of Amended and Restated Participation Agreement dated August 1, 2006, among American Centurion Life Assurance Company, IDS Life Insurance Company of New York, Ameriprise Financial Services, Inc., AllianceBernstein L.P. and AllianceBernstein Investments, Inc. filed electronically as Exhibit 27(h) (2) to Post-Effective Amendment No. 22 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(2) Copy of Amended and Restated Fund Participation Agreement dated June 1, 2006, by and among American Centurion Life Assurance Company, American Enterprise Life Insurance Company, American Partners Life Insurance Company, IDS Life Insurance Company, IDS Life Insurance Company of New York, Ameriprise Financial Services, Inc. and American Century Investment Services, Inc. filed electronically as Exhibit 27(h)(3) to Post-Effective Amendment No. 22 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(3) Copy of Amended and Restated Fund Participation Agreement dated January 1, 2007, among Variable Insurance Products Funds, Fidelity Distributors Corporation and RiverSource Life Insurance Co. of New York filed electronically as Exhibit 8.16 to RiverSource of New York Variable Annuity Account 2’s Post-Effective Amendment No. 3 to Registration StatementNo. 333-139764 on or about April 28, 2008, is incorporated herein by reference.
(h)(4) Copy of Amended and Restated Participation Agreement dated August 1, 2005, by and between Franklin Templeton Variable Insurance Products Trust, Franklin/Templeton Distributors, Inc., American Centurion Life Assurance Company, American Enterprise Life Insurance Company, IDS Life Insurance Company, IDS Life Insurance Company of New York and Ameriprise Financial Services Inc. (formerly American Express Financial Advisors Inc.) filed electronically as Exhibit (h)(8) to Post-Effective Amendment No. 21 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(5) Copy of Janus Aspen Series Amended and Restated Fund Participation Agreement dated September 1, 2006, by and among American Centurion Life Assurance Company, IDS Life Insurance Company of New York and Janus Aspen Series filed electronically as Exhibit 27(h)(9) to Post-Effective Amendment No. 22 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(6) Copy of Participation Agreement Among MFS Variable Insurance Trust, American Centurion Life Assurance Company, IDS Life Insurance Company of New York and Massachusetts Financial Services Company, dated June 15, 2006, filed electronically as Exhibit (h)(10) to Post-Effective Amendment No. 23 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(7) Copy of Fund Participation Agreement dated April 2, 2007, among RiverSource Life Insurance co. of New York, Wanger Advisors Trust, Columbia Wanger Asset Management, L.P. and Columbia Management Distributors, Inc. filed electronically as Exhibit 8.22 to RiverSource of New York Variable Annuity Account 2’s Post-Effective Amendment No. 3 to Registration StatementNo.333-139764 on or about April 28, 2008, is incorporated herein by reference.
(h)(8) Copy of Fund Participation Agreement dated May 1, 2006, among American Centurion Life Assurance Company, IDS Life Insurance Company of New York, Columbia Funds Variable Insurance Trust I, Columbia Management Advisors, LLC and Columbia Management Distributors, Inc. filed electronically as Exhibit 27(h) (13) to Post-Effective Amendment No. 22 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(9) Copy of Participation Agreement dated January 1, 2007, by and among, Wells Fargo Variable Trust, RiverSource Life Insurance Co. of New York, RiverSource Distributors, Inc. and Wells Fargo Funds Distributor, LLC filed electronically as Exhibit(h)(16) to Post-Effective Amendment No. 23 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(10) Copy of Amended and Restated Fund Participation Agreement dated March 30, 2007, among Oppenheimer Variable Account funds, Oppenheimer Funds, Inc. and RiverSource Life Insurance Co. of New York filed electronically as Exhibit 8.4 to RiverSource of New York Variable Annuity Account 2’s Post-Effective Amendment No. 3 to Registration StatementNo. 333-139764 on or about April 28, 2008, is incorporated herein by reference.
(h)(11) Copy of Participation Agreement dated March 1, 2006, among IDS Life Insurance Company of New York, PIMCO Variable Insurance Trust and Allianz Global Investors Distributors LLC filed electronically as Exhibit 8.17 to Post-Effective Amendment No. 22 to Registration StatementNo. 333-91691 is incorporated herein by reference.
(h)(12) Copy of Participation Agreement dated January 1, 2007, by and among RiverSource Life Insurance Company, RiverSource Life Insurance Co. of New York and RiverSource Distributors, Inc. filed electronically as Exhibit 8.8 to Post-Effective Amendment No. 1 to Registration StatementNo. 333-139761 is incorporated herein by reference.
(h)(13) Copy of Fund Participation Agreement dated April 30, 2012 by and among RiverSource Life Insurance Co. of New York, BlackRock Variable Series Funds, Inc. and BlackRock Investments, LLC filed electronically as Exhibit 8.14 to RiverSource of New York Variable Annuity Account’s Post-Effective Amendment No. 1 to Registration StatementNo. 333-179335 is incorporated herein by reference.
(h)(14) Copy of Participation Agreement dated April 30, 2012 by and among RiverSource Life Insurance Co. of New York, RiverSource Distributors, Inc., DWS Variable Series I, DWS Variable Series II, DWS Investments VIT Funds, DWS Investments Distributors, Inc. and Deutsche Investment Management Americas Inc. filed electronically as Exhibit 8.15 to RiverSource of New York Variable Annuity Account’s Post-Effective Amendment No. 1 to Registration StatementNo. 333-179335 is incorporated herein by reference.
(h)(15) Copy of Fund Participation Agreement dated March 2, 2006, by and between Neuberger Berman Advisers Management Trust, Neuberger Berman Management, Inc. and IDS Life Insurance Company filed electronically as Exhibit 8.17 to Post-Effective Amendment No. 41 to Registration StatementNo. 333-79311 is incorporated herein by reference.
(h)(16) Copy of Fund Participation Agreement dated April 30, 2013, by and among ALPS Variable Investment Trust, ALPS Portfolio Solutions Distributor, Inc., and RiverSource Life Insurance Co. of New York filed electronically as Exhibit 8.16 to RiverSource of New York Variable Annuity Account’s Post-Effective Amendment No.4 to Registration StatementNo. 333-179335 is incorporated herein by reference.
(h)(17) Copy of Amended and Restated Participation Agreement dated September 1, 2006, by and among IDS Life Insurance Company of New York, Legg Mason Partners Variable Portfolios I, Inc. (formerly Salomon Brothers Variable Series Fund, Inc.), Legg Mason Partners Variable Portfolios II, Inc. (formerly Greenwich Street Series Fund, formerly Smith Barney Series Fund, formerly Smith Barney Shearson Series Fund,
formerly Shearson Series Fund), Legg Mason Partners Variable Portfolios III, Inc. (formerly Travelers Series Fund Inc., formerly Smith Barney Travelers Series Fund Inc.) and Legg Mason Investor Services, LLC filed electronically as Exhibit 8.14 to Post-Effective Amendment No.22 to Registration StatementNo. 333-91691 is incorporated by reference.
(h)(18) Copy of Amended and Restated Participation Agreement dated April 17,2006, by and among AIM Variable Insurance Funds, AIM Distributors, Inc. American Centurion Life Assurance Company, IDS Life Insurance Company of New York, and Ameriprise Financial Services, Inc. filed electronically as Exhibit 27(h)(1) to Post-Effective Amendment No. 48 to Registration StatementNo. 333-44644 is incorporated herein by reference.
(h)(19) Copy of Amended and Restated Participation Agreement dated May 1, 2006, among The Universal Institutional Funds, Inc., Morgan Stanley Investment Management Inc., Morgan Stanley Distribution, Inc., American Enterprise Life Insurance Company and IDS Life Insurance Company filed electronically as Exhibit 8.24 to Post-Effective Amendment No. 41 to Registration StatementNo. 333-79311 is incorporated herein by reference.
(h)(20) Copy of Participation Agreement dated Jan. 1, 2007, by and among RiverSource Life Insurance Co. of New York, RiverSource Distributors, Inc. and Lazard Asset Management Securities LLC and Lazard Retirement Series, Inc. filed electronically as Exhibit 8.27 to Registrant’s Post-Effective Amendment No. 24 to Registration StatementNo.333-91691 is incorporated herein by reference.
(i) Not applicable.
(j) Not applicable.
(k) Not applicable.
(l) Not applicable.
(m) Not applicable.
(n) Not applicable.
(o) Not applicable.
(p) Not applicable.
(q) RiverSource Life Insurance Co. of New York’s Description of Transfer and Redemption Procedures and Method of Conversion to Fixed Benefit Policies filed electronically as Exhibit (q) to Post-Effective Amendment No. 25 to Registration StatementNo. 333-42257 is incorporated herein by reference.
(r)(1) * Power of Attorney to sign amendments to this Registration Statement, dated January 31, 2019 is filed electronically herewith as Exhibit (r)(1) to Post-Effective Amendment No. 2 to Registration Statement FileNo. 333-227507.
(r)(2) ** Power of Attorney to sign amendments to this Registration Statement, dated September 12, 2019 is filed electronically herewith as Exhibit (r)(2) to Post-Effective Amendment No. 2 to Registration Statement FileNo. 333-227507.
Item 27. Directors and Officers of the Depositor
Directors and Officers of the Depositor RiverSource Life Insurance Co. of New York
Name | Principal Business Address* | Positions and Offices with Depositor | ||
| Gumer C. Alvero | 1765 Ameriprise Financial Center Minneapolis, MN 55474 | Chairman of the Board, President and Chief Executive Officer | ||
| Jean B. Keffler | 1010 Swingley Rd. Livingston, MT 59047 | Director | ||
| Michael J. Pelzel | Senior Vice President—Corporate Tax | |||
| Stephen P. Blaske | Senior Vice President and Chief Actuary | |||
| Mark Gorham | Director and Vice President - Insurance Product Development | |||
| Karen M. Bohn | 6620 Iroquois Trail Edina, MN 55439 | Director | ||
| Ronald L. Guzior | Sax/BST, LLC 26 Computer Drive West Albany, NY 12205 | Director | ||
| Shweta Jhanji | Senior Vice President and Treasurer | |||
| Thomas R. Moore | Secretary | |||
| Jeffrey J. Scherman | Senior Vice President and Controller | |||
| Lynn Abbott | Vice President – National Sales Manager and Fund Management | |||
| Michael J. Madden | Director | |||
| Jason J. Poor | Director | |||
| Mark D. Scalercio | Director | |||
| * | Unless otherwise noted, the business address is 70100 Ameriprise Financial Center, Minneapolis, MN 55474 |
Item 28. Persons Controlled by or Under Common Control with the Depositor or the Registrant
SUBSIDIARIES AND AFFILIATES OF AMERIPRISE FINANCIAL, INC.
Parent Company | Incorp State | |
Ameriprise Financial, Inc. | DE | |
Subsidiary Name | Incorp State | |
Ameriprise Advisor Capital, LLC | DE | |
Ameriprise Advisor Financing, LLC | DE | |
Ameriprise Bank, FSB | DE | |
Ameriprise Capital Trust I | DE | |
Ameriprise Capital Trust II | DE | |
Ameriprise Capital Trust III | DE | |
Ameriprise Capital Trust IV | DE | |
Ameriprise Captive Insurance Company | VT | |
Ameriprise Certificate Company | DE | |
Investors Syndicate Development Corporation | NV | |
Ameriprise Holdings, Inc. | DE | |
Ameriprise India LLP | India | |
Ameriprise India Partner, LLC1 | DE | |
Ameriprise India Private Limited | India | |
Ameriprise Trust Company | MN | |
AMPF Holding Corporation | MI | |
American Enterprise Investment Services Inc.2 | MN | |
Ameriprise Financial Services, LLC2 | DE | |
AMPF Property Corporation | MI | |
AMPF Realty Corporation | MI | |
Investment Professionals, Inc.2 | TX | |
Columbia Management Investment Advisers, LLC | MN | |
Advisory Capital Strategies Group Inc. | MN | |
Columbia Wanger Asset Management, LLC | DE | |
Emerging Global Advisors, LLC | DE | |
GA Legacy, LLC | DE | |
J. & W. Seligman & Co. Incorporated | DE | |
Columbia Management Investment Distributors, Inc.2 | DE | |
Seligman Partners, LLC3 | DE | |
Lionstone BBP Limited Partner, LLC | DE | |
Houston BBP, L.P.4 | DE | |
Lionstone Partners, LLC | TX | |
Cash Flow Asset Management GP, LLC | TX | |
Cash Flow Asset Management, L.P.5 | TX | |
CREA Special VAD Limited Partner, LLC | DE | |
Lionstone Advisory Services, LLC | TX | |
Lionstone CFRE II Real Estate Advisory, LLC | DE | |
Lionstone Development Services, LLC | TX | |
LPL 1111 Broadway GP, LLC | TX | |
LPL 1111 Broadway, L.P.6 | TX | |
Lionstone VA Five, LLC7 | DE | |
Lionstone USValue-Add Five, L.P.8 | DE | |
RiverSource CDO Seed Investments, LLC | MN | |
Columbia Management Investment Services Corp. | MN | |
RiverSource Distributors, Inc.2 | DE | |
RiverSource Life Insurance Company | MN | |
RiverSource Life Insurance Co. of New York | NY | |
RiverSource NY REO, LLC | NY | |
RiverSource REO 1, LLC | MN | |
RiverSource Tax Advantaged Investments, Inc. | DE | |
AEXP Affordable Housing Portfolio, LLC9 | DE | |
Ameriprise International Holdings GmbH | Switzerland | |
Ameriprise Asset Management Holdings GmbH | Switzerland | |
Ameriprise Asset Management Holdings Singapore (Pte.) Ltd. | Singapore | |
Ameriprise Asset Management Holdings Hong Kong Limited | Hong Kong | |
Threadneedle Portfolio Services Hong Kong Limited | Hong Kong | |
Columbia Threadneedle Malaysia Sdn Bhd. | Malaysia | |
Threadneedle Investments Singapore (Pte.) Ltd | Singapore | |
Threadneedle EMEA Holdings 1, LLC | MN | |
Threadneedle Asset Management Holdings Sàrl | Luxembourg | |
CTM Holdings Limited | Malta | |
Columbia Threadneedle Investments (ME) Limited | Dubai | |
TAM Investment Limited | England | |
Threadneedle Holdings Limited | England | |
TAM UK Holdings Limited | England | |
Threadneedle Asset Management Holdings Limited | England | |
Columbia Threadneedle Foundation | England | |
TC Financing Limited | England | |
Threadneedle Asset Management Limited | England | |
Threadneedle Investment Services Limited | England | |
Threadneedle Asset Management (Nominees) Limited | England | |
Convivo Asset Management Limited | England | |
Sackville TIPP Property (GP) Limited | England | |
Threadneedle Investment Advisors Limited | England | |
Threadneedle Portfolio Managers Limited | England | |
Threadneedle Asset Management Finance Limited | England | |
TMS Investment Limited | Jersey | |
Threadneedle International Fund Management Limited | England | |
Threadneedle International Limited | England | |
Threadneedle Investments (Channel Islands) Limited | England | |
Threadneedle Investments Limited | England | |
Threadneedle Management Services Limited | England | |
Threadneedle Capital Management Limited | England | |
Threadneedle Pension Trustees Limited | England | |
Threadneedle Securities Limited | England | |
Threadneedle Navigator ISA Manager Limited | England | |
Threadneedle Pensions Limited | England | |
Threadneedle Portfolio Services AG | Switzerland | |
Threadneedle Portfolio Services Limited | England | |
Threadneedle Property Investments Limited | England | |
Sackville (CTESIF) GP Sàrl | Luxembourg | |
Sackville LCW (GP) Limited | England | |
Sackville LCW Sub LP 1 (GP) Limited | England | |
Sackville LCW Nominee 1 Limited | England | |
Sackville LCW Nominee 2 Limited | England | |
Sackville LCW Sub LP 2 (GP) Limited | England | |
Sackville LCW Nominee 3 Limited | England | |
Sackville LCW Nominee 4 Limited | England | |
Sackville Property (GP) Limited | England | |
Sackville Property Curtis (Jersey GP) Limited | Jersey | |
Sackville Property Hayes (Jersey GP) Limited | Jersey | |
Sackville UKPEC6 Hayes Nominee 1 Limited | Jersey | |
Sackville UKPEC6 Hayes Nominee 2 Limited | Jersey | |
Sackville Property St James (Jersey GP) Limited | Jersey | |
Sackville UKPEC9 St James Nominee 1 Limited | Jersey |
Sackville UKPEC9 St James Nominee 2 Limited | Jersey | |
Sackville Property Tower (Jersey GP) Limited | Jersey | |
Sackville UKPEC7 Tower Nominee 1 Limited | Jersey | |
Sackville UKPEC7 Tower Nominee 2 Limited | Jersey | |
Sackville Property Victoria (Jersey GP) Limited | Jersey | |
Sackville UKPEC8 Victoria Nominee 1 Limited | Jersey | |
Sackville UKPEC8 Victoria Nominee 2 Limited | Jersey | |
Sackville Property Victoria (Jersey GP) Limited | Jersey | |
Sackville SPF IV Property (GP) Limited | England | |
Sackville SPV IV (GP) No. 1 Limited | England | |
Sackville SPV IV (GP) No. 2 Limited | England | |
Sackville SPF IV (GP) No. 3 Limited | England | |
Sackville Tandem Property (GP) Limited | England | |
Sackville TPEN Property (GP) Limited | England | |
Sackville TPEN Property Nominee (2) Limited | England | |
Sackville TPEN Property Nominee Limited | England | |
Sackville TSP Property (GP) Limited | England | |
Sackville UK Property Select II (GP) Limited | England | |
Sackville UK Property Select II (GP) No.1 Limited | England | |
Sackville UK Property Select II Nominee (1) Limited | England | |
Sackville UK Property Select II (GP) No.2 Limited | England | |
Sackville UK Property Select II Nominee (2) Limited | England | |
Sackville UK Property Select II (GP) No.3 Limited | England | |
Sackville UK Property Select II Nominee (3) Limited | England | |
Sackville UKPEC1 Leeds (GP) Limited | England | |
Sackville UKPEC1 Leeds Nominee 1 Limited | England | |
Sackville UKPEC1 Leeds Nominee 2 Limited | England | |
Sackville UKPEC2 Galahad (GP) Limited | England | |
Sackville UKPEC3 Croxley (GP) Limited | England | |
Sackville UKPEC3 Croxley Nominee 1 Limited | England | |
Sackville UKPEC3 Croxley Nominee 2 Limited | England | |
Sackville UKPEC4 Brentford (GP) Limited | England | |
Threadneedle Property Execution 1 Limited | England | |
Threadneedle Property Execution 2 Limited | England | |
Threadneedle UK Property Equity Club PCC | Jersey | |
Threadneedle UK Property Equity II Asia 1 PC | Jersey | |
Threadneedle UK Property Equity II ROW 1 PC | Jersey | |
Threadneedle International Investments GmbH | Switzerland | |
Threadneedle Management Luxembourg S.A. | Luxembourg | |
Threadneedle Unit Trust Manager Limited | England |
| 1 | This entity has three partners: Ameriprise Financial, Inc. owns a 100% profit sharing ratio with capital contribution of 124,078,760 INR (Indian currency=rupees) & 10 INR are owned each by Columbia Management Investment Advisers, LLC & Ameriprise India Partner, LLC. |
| 2 | Registered Broker-Dealer. |
| 3 | This entity is managed by members of onshore hedge fund feeders. |
| 4 | This entity is owned by: Lionstone BBP Limited Partner, LLC (2%) & Teacher Retirement System of Texas (98%) |
| 5 | This entity is owned by: Lionstone Partners, LLC (99%) & Cash Flow Asset Management GP, LLC (1%). |
| 6 | This entity is owned by: Lionstone Partners, LLC (99.9%) & LPL 1111 Broadway GP, LLC (0.17 This entity is owned by: Columbia Management Investment Advisers, LLC (83.333%) & Lionstone LVA5 Holdings, LLC (16.667%) |
| 7 | This entity is owned by: Columbia Management Investment Advisers, LLC (83.333%) & Lionstone LVA5 Holdings, LLC (16.667%7 This entity is owned by: Columbia Management Investment Advisers, LLC (83.333%) & Lionstone LVA5 Holdings, LLC (16.667%) |
| 8 | This entity is owned by: Lionstone VA Five, LLC (3%); Teacher Retirement System of Texas (44.1%); California State Teachers’ Retirement System (44.1%); William Marsh Rice University (8.8%) |
| 9 | One-third of this entity is owned by American Express Travel Related Services. |
Item 29. Indemnification
The amended and restatedBy-Laws of the depositor provide that the depositor will indemnify, to the fullest extent now or hereafter provided for or permitted by law, each person involved in, or made or threatened to be made a party to, any action, suit, claim or proceeding, whether civil or criminal, including any investigative, administrative, legislative, or other proceeding, and including any action by or in the right of the depositor or any other corporation, or any partnership, joint venture, trust, employee benefit plan, or other enterprise (any such entity, other than the depositor, being hereinafter referred to as an “Enterprise”), and including appeals therein (any such action or process being hereinafter referred to as a “Proceeding”), by reason of the fact that such person, such person’s testator or intestate (i) is or was a director or officer of the depositor, or (ii) is or was serving, at the request of the depositor, as a director, officer, or in any other capacity, or any other Enterprise, against any and all judgments, amounts paid in settlement, and expenses, including attorney’s fees, actually and reasonably incurred as a result of or in connection with any Proceeding, except as provided below.
No indemnification will be made to or on behalf of any such person if a judgment or other final adjudication adverse to such person establishes that such person’s acts were committed in bad faith or were the result of active and deliberate dishonesty and were material to the cause of action so adjudicated, or that such person personally gained in fact a financial profit or other advantage to which such person was not legally entitled. In addition, no indemnification will be made with respect to any Proceeding initiated by any such person against the depositor, or a director or officer of the depositor, other than to enforce the terms of this indemnification provision, unless such Proceeding was authorized by the Board of Directors of the depositor. Further, no indemnification will be made with respect to any settlement or compromise of any Proceeding unless and until the depositor has consented to such settlement or compromise.
The depositor may, from time to time, with the approval of the Board of Directors, and to the extent authorized, grant rights to indemnification, and to the advancement of expenses, to any employee or agent of the depositor or to any person serving at the request of the depositor as a director or officer, or in any other capacity, of any other Enterprise, to the fullest extent of the provisions with respect to the indemnification and advancement of expenses of directors and officers of the depositor.
Insofar as indemnification for liability arising under the Securities Act of 1933 (the “Act”) may be permitted to directors, officers and controlling persons of the depositor or the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
Item 30. Principal Underwriters
(a) RiverSource Distributors, Inc. acts as principal underwriter for:
RiverSource Variable Annuity Account 1
RiverSource Variable Annuity Account
RiverSource Account F
RiverSource Variable Annuity Fund A
RiverSource Variable Annuity Fund B
RiverSource Variable Account 10
RiverSource Account SBS
RiverSource MVA Account
RiverSource Account MGA
RiverSource Account for Smith Barney
RiverSource Variable Life Separate Account
RiverSource Variable Life Account
RiverSource of New York Variable Annuity Account
RiverSource of New York Variable Annuity Account 1
RiverSource of New York Variable Annuity Account 2
RiverSource of New York Account 4
RiverSource of New York Account 7
RiverSource of New York Account 8
(b) As to each director, officer or partner of the principal underwriter:
Name and Principal Business Address* | Positions and Offices with Underwriter | |
| Lynn Abbott | President | |
| Gumer C. Alvero | Director and Executive Vice President | |
| Shweta Jhanji | Senior Vice President and Treasurer | |
| Thomas R. Moore | Secretary | |
| Mark D. Scalercio | Vice President | |
| Jeffrey J. Scherman | Chief Financial Officer | |
| John R. Woerner | Chairman of the Board and Chief Executive Officer | |
| * | Business address is: 50611 Ameriprise Financial Center, Minneapolis, MN 55474 |
(c)
RiverSource Distributors, Inc., the principal underwriter during Registrant’s last fiscal year, was paid the following commissions:
NAME OF PRINCIPAL UNDERWRITER | NET UNDERWRITING DISCOUNTS AND COMMISSIONS | COMPENSATION ON REDEMPTION | BROKERAGE COMMISSIONS | OTHER COMPENSATION | ||||||||||||
RiverSource Distributors, Inc. | $ | 27,593,528 | None | None | None | |||||||||||
Item 31. Location of Accounts and Records
The accounts and records of the Registrant are located at the offices of the Depositor RiverSource Life Insurance Co. of New York at 20 Madison Avenue Extension, Albany, NY 12203.
Item 32. Management Services
Not Applicable.
Item 33. Fee Representation
The Depositor represents that the fees and charges deducted under the policy, in the aggregate, are reasonable in relation to the services rendered, the expenses expected to be incurred, and the risks assumed by the insurance company.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940 RiverSource Life Insurance Co. of New York, on behalf of the Registrant, has duly caused this Amendment to its Registration Statement to be signed on behalf of the Registrant by the undersigned, thereunto duly authorized, in this City of Minneapolis, and State of Minnesota on the 21th day of February, 2020.
RiverSource of New York Account 8
(Registrant)
By RiverSource Life Insurance Co. of New York
(Depositor)
By /s/ Gumer C. Alvero* |
| Gumer C. Alvero |
Chairman of the Board, President and Chief Executive Officer
As required by the Securities Act of 1933, this Amendment to the Registration Statement has been signed by the following persons in the capacities indicated on the 21st day of February, 2020.
/s/ Gumer C. Alvero* | Chairman of the Board, President and Executive | |||
| Gumer C. Alvero | Vice President - Annuities | |||
/s/ Jean B. Keffeler* | Director | |||
| Jean B. Keffeler | ||||
/s/ Mark Gorham* Mark Gorham | Director and Vice President - Insurance Product Development | |||
/s/ Jason J. Poor* | Director | |||
| Jason J. Poor | ||||
/s/ Stephen P. Blaske* | Senior Vice President and Chief Actuary | |||
| Stephen P. Blaske | ||||
/s/ Karen M. Bohn* | Director | |||
| Karen M. Bohn | ||||
/s/ Ronald L. Guzior* | Director | |||
| Ronald L. Guzior | ||||
/s/ Mark D. Scalercio* | Director | |||
| Mark D. Scalercio | ||||
/s/ Michael Madden* | Director | |||
| Michael Madden | ||||
/s/ Michael J. Pelzel** | Senior Vice President | |||
| Michael J. Pelzel | Corporate Tax | |||
/s/ Jeffrey J. Scherman** | Senior Vice President and Controller | |||
| Jeffrey J. Scherman | (Principal Accounting Officer and Principal Financial Officer) | |||
| * | Signed pursuant to Power of Attorney dated January 31, 2019, filed electronically herewith as Exhibit (r)(1) to Post-Effective Amendment No. 2 to Registration Statement FileNo. 333-227507, by: |
| ** | Signed pursuant to Power of Attorney dated September 12, 2019, filed electronically herewith as Exhibit (r)(2) to Post-Effective Amendment No. 2 to Registration Statement FileNo. 333-227507, by: |
/s/ Dixie Carroll |
Dixie Carroll |
Assistant General Counsel |
and Assistant Secretary |
CONTENTS OF This Registration Statement
This Registration Statement is comprised of the following papers and documents:
The Cover Page.
Part C.
Other information.
Signatures.
Exhibits.
EXHIBIT INDEX
(e)(3) Form of Distribution of Policy Value Endorsement
(r)(1) Power of Attorney to sign amendments to this Registration Statement, dated January 31, 2019
(r)(2) Power of Attorney to sign amendments to this Registration Statement, dated September 19, 2019
