Annual Report for Registered Investment Companies (n-cen)
March 04 2020 - 1:47PM
Edgar (US Regulatory)
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
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schemaVersion:
N-CEN:Series/Class (Contract) Information
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
a. Report for period ending:
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2019-12-31 |
b. Does this report cover a period of less than 12 months? |
Yes
X
No
|
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
a. Full name of Registrant |
LIFE INSURANCE CO OF NORTH AMERICA SEPARATE ACCOUNT A |
b. Investment Company Act file number ( e.g., 811-)
|
811-01691 |
c. CIK |
0000059362 |
d. LEI |
00000000000000000000 |
Item B.2. Address and telephone number of Registrant.
a. Street 1 |
1601 Chestnut Street |
Street 2 |
|
b. City |
Philadelphia |
c. State, if applicable |
PENNSYLVANIA
|
d. Foreign country, if applicable |
UNITED STATES OF AMERICA
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e. Zip code and zip code extension, or foreign postal
code
| |
f. Telephone number (including country code if foreign) |
816-391-2000 |
g. Public Website, if any | |
Item B.3. Location of books and records.
Instruction.
Provide the requested information for each person
maintaining
physical possession of each account, book, or other
document
required to be maintained by section 31(a) of the Act (15
U.S.C.
80a-30(a)) and the rules under that section.
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Location books Record:
1 |
a. Name of person (e.g., a custodian of records) |
Darren Cook |
b. Street 1 |
300 W. 11th Street |
Street 2 |
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c. City |
Kansas City |
d. State, if applicable |
MISSOURI
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e. Foreign country, if applicable |
UNITED STATES OF AMERICA
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f. Zip code and zip code extension, or foreign postal code |
64105 |
g. Telephone number (including country code if foreign) |
816-391-2384 |
h. Briefly describe the books and records kept at this location:
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The location of all books and records required by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
Item B.4. Initial of final filings.
Instruction.
Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
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a. Is this the first filing on this form by the Registrant?
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Yes
X
No
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b. Is this the last filing on this form by the Registrant?
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Yes
X
No
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Item B.5. Family of investment companies.
Instruction.
"Family of investment companies" means, except for
insurance company
separate accounts, any two or more registered
investment companies
that (i) share the same investment adviser or
principal underwriter;
and (ii) hold themselves out to investors as
related companies for
purposes of investment and investor
services.In responding to this
item, all Registrants in the family
of investment companies should
report the name of the family of
investment companies identically.
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Insurance company separate accounts that may not hold
themselves
out to investors as related companies (products) for
purposes of
investment and investor services should consider
themselves part of
the same family if the operational or accounting
or control systems
under which these entities function are
substantially similar.
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a. Is the Registrant part of a family of
investment
companies?
|
Yes
X
No
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Item B.6. Organization.
Instruction.
For Item B.6.a.i., the Registrant should include all Series that
have been established by the Registrant
and have shares outstanding
(other than shares issued in connection
with an initial investment
to satisfy section 14(a)
of the Act).
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Indicate the classification of the Registrant by
checking the
applicable item below.
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a. Open-end management investment company registered under the
Act on Form N-1A
b. Closed-end management investment company registered under
the Act on Form N-2
c. Separate account offering variable annuity contracts which
is registered under the Act as a management investment company on
Form N-3
X
d. Separate account offering variable annuity contracts which
is registered under the Act as a unit investment trust on Form
N-4
e. Small business investment company registered under the Act
on Form N-5
f. Separate account offering variable insurance contracts
which is registered under the Act as a unit investment trust on
Form N-6
g. Unit investment trust registered under the Act on Form
N-8B-2
Item B.7. Securities Act registration.
Is the Registrant the issuer of a class
of
securities
registered
under the Securities Act of 1933
("Securities
Act")?
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Yes
X
No
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Item B.8. Directors.
Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
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Item B.9. Chief compliance officer.
Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
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Chief compliance officer Record:
1 |
a. Full Name | |
b. CRD Number, if any | |
c. Street Address 1 |
300 W. 11th Street |
Street Address 2 |
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d. City |
Kansas City |
e. State, if applicable |
MISSOURI
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f. Foreign country, if applicable |
UNITED STATES OF AMERICA
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g. Zip code and zip code extension, or foreign postal code | |
h. Telephone number (including country code if foreign) | |
i. Has the chief compliance officer
changed
since the
last
filing?
|
Yes
X
No
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If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
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CCO employer Record:
1 |
i. Name of the person | |
ii. Person's IRS Employer Identification Number | |
Item B.10. Matters for security holder vote.
Instruction.
Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
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Were any matters submitted by the
Registrant for
its
security
holders' vote during the reporting
period?
|
Yes
X
No
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Item B.11. Legal proceeding.
Instruction.
For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
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a. Have there been any material legal
proceedings, other
than
routine litigation incidental to the
business, to which the
Registrant or any of its subsidiaries was a
party or of which any
of
their property was the subject during the
reporting period?
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Yes
X
No
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b. Has any proceeding previously reported been terminated?
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Yes
X
No
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Item B.12. Fidelity bond and insurance (management investment
companies only).
a. Were any claims with respect to the
Registrant
filed
under a fidelity bond (including, but not
limited
to, the fidelity
insuring agreement of the bond)
during the
reporting period?
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Yes
No
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Item B.13. Directors and officers/errors and omissions insurance
(management investment companies only).
a. Are the Registrant's officers or
directors
covered
in
their
capacities as officers or directors under
any
directors
and
officers/errors and omissions insurance policy
owned by
the
Registrant or anyone else?
|
Yes
No
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Item B.14. Provision of financial support.
Instruction.
For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
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Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period?
|
Yes
X
No
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Item B.15. Exemptive orders.
a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act?
|
Yes
X
No
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Item B.16. Principal underwriters.
a. Provide the information requested below about each principal underwriter: |
i. Full name |
|
ii. SEC file number (e.g., 8-) |
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iii. CRD number |
|
iv. LEI, if any | |
v. State, if applicable |
|
vi. Foreign country, if applicable |
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vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
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Yes
No
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b. Have any principal underwriters been hired or terminated during the reporting period?
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Yes
X
No
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Item B.17. Independent public accountant.
Provide the following information about eachthe independent public accountant:
|
Public accountant Record:
1 |
a. Full Name |
Moss Adams LLP |
b. PCAOB Number |
659 |
c. LEI, if any |
N/A |
d. State, if applicable |
TEXAS
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e. Foreign country, if applicable |
UNITED STATES OF AMERICA
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f. Has the independent public accountant changed since the last filing? |
Yes
X
No
|
Item B.18. Report on internal control (management investment
companies only).
Instruction.
Small business investment companies are not
required to respond to
this item.
|
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses?
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Yes
No
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Item B.19. Audit opinion.
For the reporting period, did an
independent
public
accountant issue an opinion other than an
unqualified opinion
with
respect to its audit of the Registrant's
financial statements?
|
Yes
X
No
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Item B.20. Change in valuation methods.
Instruction.
Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
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Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period?
|
Yes
X
No
|
Item B.21. Change in accounting principles and practices.
Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported?
|
Yes
X
No
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N-CEN:Part F: Additional Questions for Unit Investment Trusts
Item F.1. Depositor.
Provide the following information about the depositor: |
|
Depositor Record:
1 |
a. Full Name |
Life Insurance Company of North America |
b. CRD number, if any |
N/A |
c. LEI, if any |
N/A |
d. State, if applicable |
PENNSYLVANIA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Full Name of ultimate parent of depositor |
Cigna |
Item F.2. Third-party administrator.
a. Provide the following information about each administrator of
the Fund:
|
UIT admin Record:
1 |
i. Full Name |
Alliance-One Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
|
74-2764079 |
Description of other identifying number |
FEIN |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of
the
Fund
or depositor?
|
Yes
X
No
|
vi. Is the administrator a sub-administrator?
|
Yes
X
No
|
b. Has an administrator been hired or terminated
during
the reporting period?
|
Yes
X
No
|
Item F.3. Insurance company separate accounts.
Instruction.
If the answer to Item F.3 is yes, respond to Item F.12 through Item
F.17. If the answer to Item F.3 is no, respond to Item F.4 through
Item F.11, and Item F.17.
|
Is the Registrant a separate account of an insurance
company?
| X
Yes
No
|
Item F.12. Series ID of separate account.
Series identification number: |
S000011244 |
Item F.13. Number of contracts.
Instruction.
In the case of group contracts, each participant
certificate should
be counted as an individual contract.
|
For each security that has a contract identification
number assigned pursuant to rule 313 of Regulation S-T (17 CFR
232.313), provide the number of individual contracts that are in
force at the end of the reporting period:
|
201 |
Item F.14. Information on the security issued through the
separate
account.
Instruction.
In the case of group contracts, each participant
certificate should
be counted as an individual contract.
|
For each security that has a contract identification
number
assigned
pursuant to rule 313 of Regulation S-T (17 CFR
232.313),
provide
the following information as of the end of the
reporting
period:
|
Contact security Record:
1 |
a. Full name of the security: |
Group Fixed Benefit and Variable Benefit Retirement Annuity |
b. Contract identification number: |
C000030966 |
c. Total assets attributable to the security: |
279,683 |
d. Number of contracts sold during the reporting
period:
|
0 |
e. Gross premiums received during the reporting
period:
|
0 |
f. Gross premiums received pursuant to section 1035
exchanges:
|
0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
|
0 |
h. Amount of contract value redeemed during the
reporting period
|
58,661 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
|
0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
|
0 |
Contact security Record:
2 |
a. Full name of the security: |
Flexible Premium Deferred Variable or Deferred Variable and Fixed Annuity |
b. Contract identification number: |
C000030967 |
c. Total assets attributable to the security: |
14,226,346 |
d. Number of contracts sold during the reporting
period:
|
0 |
e. Gross premiums received during the reporting
period:
|
0 |
f. Gross premiums received pursuant to section 1035
exchanges:
|
0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
|
0 |
h. Amount of contract value redeemed during the
reporting period
|
2,024,745 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
|
0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
|
0 |
Contact security Record:
3 |
a. Full name of the security: |
Single Premium Deferred Variable Annuity or Deferred Variable and Fixed Annuity |
b. Contract identification number: |
C000030968 |
c. Total assets attributable to the security: |
915,108 |
d. Number of contracts sold during the reporting
period:
|
0 |
e. Gross premiums received during the reporting
period:
|
0 |
f. Gross premiums received pursuant to section 1035
exchanges:
|
0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
|
0 |
h. Amount of contract value redeemed during the
reporting period
|
38,190 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
|
0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
|
0 |
Item F.15. Reliance on rule 6c-7.
Did the Registrant rely on rule 6c-7 under the Act (17
CFR
270.6c-7) during the reporting period?
|
Yes
X
No
|
Item F.16. Reliance on rule 11a-2.
Did the Registrant rely on rule 11a-2 under the Act (17
CFR 270.11a-2) during the reporting period?
|
Yes
X
No
|
Item F.17. Divestments under section 13(c) of the Act.
Instruction.
This item may be used by a unit investment
trust that divested
itself of securities in accordance with
section 13(c). A unit
investment trust is not required to include
disclosure under this
item; however, the limitation on civil,
criminal, and administrative
actions under section 13(c) does not
apply with respect to a
divestment that is not disclosed under
this item.
If a unit investment trust divests itself of
securities in
accordance with section 13(c) during the period that
begins on the
fifth business day before the date of filing a
report on Form N-CEN
and ends on the date of filing, the unit
investment trust may
disclose the divestment in either the report
or an amendment thereto
that is filed not later than five business
days after the date of
filing the report.
For purposes of determining when a divestment
should be reported
under this item, if a unit investment trust
divests its holdings in
a particular security in a related series
of transactions, the unit
investment trust may deem the divestment
to occur at the time of the
final transaction in the series. In
that case, the unit investment
trust should report each
transaction in the series on a single
report on Form N-CEN, but
should separately state each date on which
securities were
divested and the total number of shares or, for debt
securities,
principal amount divested, on each such date.
Item F.17 shall
terminate one year after the first date on which all
statutory
provisions that underlie section 13(c) have terminated.
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a. If the Registrant has divested itself of
securities in
accordance
with section 13(c) of the Act (15 U.S.C.
80a-13(c)) since
the end
of the reporting period immediately prior to
the current
reporting
period and before filing of the current report,
disclose
the
information requested below for each such divested
security:
|
i. Full name of the issuer |
|
ii. Ticker Symbol |
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iii. CUSIP number |
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iv. Total number of shares or, for debt securities,
principal amount divested:
|
|
v. Date that the securities were divested:
|
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vi. Name of the statute that added the provision of
section 13(c) in accordance with which the securities were
divested:
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b. If the Registrant holds any securities of the
issuer on the date
of
the filing, provide the information requested
below:
|
i. Ticker Symbol |
|
ii. CUSIP number |
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iii. Total number of shares or, for debt securities,
principal amount held on the date of the filing:
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N-CEN:Part G: Attachments
Item G.1a. Attachments.
Attachments applicable to all Registrants. All
Registrants shall file the following attachments, as applicable,
with the current report. Indicate the attachments filed with the
current report by checking the applicable items below:
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i. Legal proceedings
ii. Provision of financial support
iii. Independent public accountant's report on internal
control (management investment companies other than small business
investment companies only)
iv. Change in accounting principles and practices
v. Information required to be filed pursuant to
exemptive orders
vi. Other information required to be included
as an attachment pursuant to Commission rules and regulations
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Instructions.
1. Item G.1.a.i. Legal proceedings.
(a) If the Registrant responded "YES" to Item B.11.a., provide a
brief description of the proceedings. As part of the description,
provide the case or docket number (if any), and the full names of
the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the
proceeding and give its date of termination.
2. Item G.1.a.ii. Provision of financial support. If the Registrant
responded "YES" to Item B.14., provide the following information
(unless the Registrant is a Money Market Fund):
(a) Description of nature of support.
(b) Person providing support.
(c) Brief description of relationship between the person providing
support and the Registrant.
(d) Date support provided.
(e) Amount of support.
(f) Security supported (if applicable). Disclose the full name of
the issuer, the title of the issue (including coupon or yield, if
applicable) and at least two identifiers, if available (e.g., CIK,
CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if
applicable).
(h) Brief description of reason for support.
(i) Term of support.
(j) Brief description of any contractual restrictions relating to
support.
3. Item G.1.a.iii. Independent public accountant's report on
internal control (management investment companies other than small
business investment companies only). Each management investment
company shall furnish a report of its independent public accountant
on the company's system of internal accounting controls. The
accountant's report shall be based on the review, study and
evaluation of the accounting system, internal accounting controls,
and procedures for safeguarding securities made during the audit of
the financial statements for the reporting period. The report
should disclose any material weaknesses in: (a) the accounting
system; (b) system of internal accounting control; or (c)
procedures for safeguarding securities which exist as of the end of
the Registrant's fiscal year.
The accountant's report shall be furnished as an exhibit to the
form and shall: (1) be addressed to the Registrant's shareholders
and board of directors; (2) be dated; (3) be signed manually; and
(4) indicate the city and state where issued.
Attachments that include a report that discloses a material
weakness should include an indication by the Registrant of any
corrective action taken or proposed.
The fact that an accountant's report is attached to this form shall
not be regarded as acknowledging any review of this form by the
independent public accountant.
4. Item G.1.a.iv. Change in accounting principles and practices. If
the Registrant responded "YES" to Item B.21, provide an attachment
that describes the change in accounting principles or practices, or
the change in the method of applying any such accounting principles
or practices. State the date of the change and the reasons
therefor. A letter from the Registrant's independent accountants,
approving or otherwise commenting on the change, shall accompany
the description.
5. Item G.1.a.v. Information required to be filed pursuant to
exemptive orders. File as an attachment any information required to
be reported on Form N-CEN or any predecessor form to Form N-CEN
(e.g., Form N-SAR) pursuant to exemptive orders issued by the
Commission and relied on by the Registrant.
6. Item G.1.a.vi. Other information required to be included as an
attachment pursuant to Commission rules and regulations. File as an
attachment any other information required to be included as an
attachment pursuant to Commission rules and regulations.
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N-CEN: Signature
Pursuant to the requirements of the Investment Company Act of 1940, the
Registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
|
Registrant |
LIFE INSURANCE CO OF NORTH AMERICA SEPARATE ACCOUNT A |
Date |
2020-03-04 |
Signature |
/s/ Brian J. Curran |
Title |
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