MONY Life Insurance Company of America

Statement as of March 31, 2019 of the MONY LIFE INSURANCE COMPANY OF AMERICA

Q02

ASSETSCurrent Statement Date 4

1 2 3Net Admitted December 31

Nonadmitted Assets Prior Year NetAssets Assets (Cols. 1 - 2) Admitted Assets

1. Bonds....................................................................................................................................... .............1,102,547,583 ..................................... .............1,102,547,583 .............1,065,453,165

2. Stocks:

2.1 Preferred stocks............................................................................................................. ....................2,250,000 ..................................... ....................2,250,000 ....................4,196,250

2.2 Common stocks.............................................................................................................. ..................58,070,050 ..................................... ..................58,070,050 ..................55,023,301

3. Mortgage loans on real estate:

3.1 First liens........................................................................................................................ ..................17,000,000 ..................................... ..................17,000,000 ..................17,000,000

3.2 Other than first liens....................................................................................................... ..................................... ..................................... ..................................0 .....................................

4. Real estate:

4.1 Properties occupied by the company (less $..........0encumbrances)............................................................................................................... ..................................... ..................................... ..................................0 .....................................

4.2 Properties held for the production of income (less $..........0encumbrances)............................................................................................................... ..................................... ..................................... ..................................0 .....................................

4.3 Properties held for sale (less $..........0 encumbrances)................................................. ..................................... ..................................... ..................................0 .....................................

5. Cash ($.....255,584), cash equivalents ($.....160,436,256)and short-term investments ($..........0).................................................................................... ................160,691,840 ..................................... ................160,691,840 ..................48,837,390

6. Contract loans (including $..........0 premium notes)................................................................. ................114,775,414 .......................950,950 ................113,824,464 ................109,930,949

7. Derivatives................................................................................................................................ ..................38,771,641 ..................................... ..................38,771,641 ..................18,692,099

8. Other invested assets............................................................................................................... ..................................3 ..................................... ..................................3 ..................................3

9. Receivables for securities........................................................................................................ ....................2,986,971 ..................................... ....................2,986,971 ....................1,004,160

10. Securities lending reinvested collateral assets......................................................................... ..................................... ..................................... ..................................0 .....................................

11. Aggregate write-ins for invested assets................................................................................... ..................................0 ..................................0 ..................................0 ..................................0

12. Subtotals, cash and invested assets (Lines 1 to 11)................................................................ .............1,497,093,502 .......................950,950 .............1,496,142,552 .............1,320,137,317

13. Title plants less $..........0 charged off (for Title insurers only).................................................. ..................................... ..................................... ..................................0 .....................................

14. Investment income due and accrued....................................................................................... ..................12,486,656 ..................................... ..................12,486,656 ..................11,256,501

15. Premiums and considerations:

15.1 Uncollected premiums and agents' balances in the course of collection....................... ....................2,696,166 ..................................... ....................2,696,166 ....................1,874,716

15.2 Deferred premiums, agents' balances and installments booked but deferredand not yet due (including $..........0 earned but unbilled premiums).............................. ..................................... ..................................... ..................................0 .....................................

15.3 Accrued retrospective premiums ($..........0) and contracts subject toredetermination ($..........0)............................................................................................. ..................................... ..................................... ..................................0 .....................................

16. Reinsurance:

16.1 Amounts recoverable from reinsurers............................................................................ ....................1,761,399 ..................................... ....................1,761,399 ....................1,163,983

16.2 Funds held by or deposited with reinsured companies.................................................. ..................................... ..................................... ..................................0 .....................................

16.3 Other amounts receivable under reinsurance contracts................................................. .......................438,270 ..................................... .......................438,270 .......................388,660

17. Amounts receivable relating to uninsured plans....................................................................... ..................................... ..................................... ..................................0 .....................................

18.1 Current federal and foreign income tax recoverable and interest thereon............................... ..................................... ..................................... ..................................0 .....................................

18.2 Net deferred tax asset.............................................................................................................. ..................60,217,767 ..................45,170,682 ..................15,047,085 ..................14,282,880

19. Guaranty funds receivable or on deposit.................................................................................. .......................615,590 ..................................... .......................615,590 .......................607,580

20. Electronic data processing equipment and software................................................................ ..................................... ..................................... ..................................0 .....................................

21. Furniture and equipment, including health care delivery assets ($..........0)............................. ..................................... ..................................... ..................................0 .....................................

22. Net adjustment in assets and liabilities due to foreign exchange rates.................................... ..................................... ..................................... ..................................0 .....................................

23. Receivables from parent, subsidiaries and affiliates................................................................ ....................3,123,163 ..................................... ....................3,123,163 ..................74,273,559

24. Health care ($..........0) and other amounts receivable............................................................. ..................................... ..................................... ..................................0 .....................................

25. Aggregate write-ins for other than invested assets.................................................................. ....................4,477,569 ....................4,463,148 .........................14,421 .........................21,062

26. Total assets excluding Separate Accounts, Segregated Accounts and ProtectedCell Accounts (Lines 12 through 25)........................................................................................ .............1,582,910,082 ..................50,584,780 .............1,532,325,302 .............1,424,006,258

27. From Separate Accounts, Segregated Accounts and Protected Cell Accounts....................... .............2,496,944,407 ..................................... .............2,496,944,407 .............2,280,840,945

28. Total (Lines 26 and 27)............................................................................................................ .............4,079,854,489 ..................50,584,780 .............4,029,269,709 .............3,704,847,203

DETAILS OF WRITE-INS

1101. ................................................................................................................................................. ..................................... ..................................... ..................................0 .....................................

1102. ................................................................................................................................................. ..................................... ..................................... ..................................0 .....................................

1103. ................................................................................................................................................. ..................................... ..................................... ..................................0 .....................................

1198. Summary of remaining write-ins for Line 11 from overflow page............................................. ..................................0 ..................................0 ..................................0 ..................................0

1199. Totals (Lines 1101 thru 1103 plus 1198) (Line 11 above)........................................................ ..................................0 ..................................0 ..................................0 ..................................0

2501. Miscellaneous Assets............................................................................................................... .........................14,421 ..................................... .........................14,421 .........................21,062

2502. IMR debit balance.................................................................................................................... ....................3,929,878 ....................3,929,878 ..................................0 .....................................

2503. Other assets non-admitted....................................................................................................... .......................533,270 .......................533,270 ..................................0 .....................................

2598. Summary of remaining write-ins for Line 25 from overflow page............................................. ..................................0 ..................................0 ..................................0 ..................................0

2599. Totals (Lines 2501 thru 2503 plus 2598) (Line 25 above)........................................................ ....................4,477,569 ....................4,463,148 .........................14,421 .........................21,062


Q03

LIABILITIES, SURPLUS AND OTHER FUNDS1 2

Current December 31Statement Date Prior Year

1. Aggregate reserve for life contracts $.....1,368,803,323 less $..........0included in Line 6.3 (including $..........0 Modco Reserve)......................................................................................................................... ...................1,368,803,323 ...................1,297,200,304

2. Aggregate reserve for accident and health contracts (including $.........0 Modco Reserve)...................................................................... ........................11,574,063 ..........................9,735,4973. Liability for deposit-type contracts (including $..........0 Modco Reserve).................................................................................................. ..........................4,867,785 ..........................4,893,0684. Contract claims:

4.1 Life................................................................................................................................................................................................. ........................23,540,235 ........................21,435,2904.2 Accident and health....................................................................................................................................................................... ..........................1,374,019 .............................700,629

5. Policyholders' dividends/refunds to members $..........0 and coupons $..........0 due and unpaid.............................................................. ........................................... ...........................................6. Provision for policyholders' dividends/refunds to members and coupons payable in following calendar year - estimated amounts:

6.1 Policyholder's dividends/refunds to members apportioned for payment (including $..........0 Modco).......................................... ........................................... ...........................................6.2 Policyholder's dividends/refunds to members not yet apportioned (including $..........0 Modco).................................................... ........................................... ...........................................6.3 Coupons and similar benefits (including $..........0 Modco)............................................................................................................ ........................................... ...........................................

7. Amount provisionally held for deferred dividend policies not included in Line 6........................................................................................ ........................................... ...........................................8. Premiums and annuity considerations for life and accident and health contracts received in advance

less $..........0 discount; including $..........0 accident and health premiums............................................................................................... ........................................... ...........................................9. Contract liabilities not included elsewhere:

9.1 Surrender values on canceled contracts........................................................................................................................................ ........................................... ...........................................9.2 Provision for experience rating refunds, including the liability of $..........0 accident and health experience rating

refunds of which $..........0 is for medical loss ratio rebate per the Public Health Service Act....................................................... ........................................... ...........................................9.3 Other amounts payable on reinsurance, including $.....277,123 assumed and $..........0 ceded................................................... .............................277,123 ..........................1,127,3859.4 Interest Maintenance Reserve....................................................................................................................................................... ........................................... ...........................................

10. Commissions to agents due or accrued - life and annuity contracts $.....8,418,797, accident and health $..........0and deposit-type contract funds $..........0................................................................................................................................................. ..........................8,418,797 ........................12,387,599

11. Commissions and expense allowances payable on reinsurance assumed............................................................................................... ........................................... ...........................................12. General expenses due or accrued............................................................................................................................................................ ..........................4,365,974 ..........................5,350,61413. Transfers to Separate Accounts due or accrued (net) (including $.....(205,978,494) accrued for expense

allowances recognized in reserves, net of reinsured allowances)............................................................................................................. .....................(205,806,613) .....................(193,114,103)14. Taxes, licenses and fees due or accrued, excluding federal income taxes............................................................................................... ..........................9,011,521 ..........................9,070,014

15.1 Current federal and foreign income taxes, including $.....16,544,259 on realized capital gains (losses).................................................. ..........................9,379,390 ..........................8,132,11615.2 Net deferred tax liability............................................................................................................................................................................. ........................................... ...........................................16. Unearned investment income.................................................................................................................................................................... ........................................... ...........................................17. Amounts withheld or retained by reporting entity as agent or trustee....................................................................................................... ........................18,360,601 ........................11,604,18818. Amounts held for agents' account, including $..........0 agents' credit balances........................................................................................ ........................................... ...........................................19. Remittances and items not allocated......................................................................................................................................................... ..........................3,453,915 ..........................7,337,42220. Net adjustment in assets and liabilities due to foreign exchange rates..................................................................................................... ........................................... ...........................................21. Liability for benefits for employees and agents if not included above....................................................................................................... ........................................... ...........................................22. Borrowed money $..........0 and interest thereon $..........0........................................................................................................................ ........................................... ...........................................23. Dividends to stockholders declared and unpaid........................................................................................................................................ ........................................... ...........................................24. Miscellaneous liabilities:

24.01 Asset valuation reserve.................................................................................................................................................................. ........................16,599,862 ........................15,763,34724.02 Reinsurance in unauthorized and certified ($..........0) companies................................................................................................. ........................................... ...........................................24.03 Funds held under reinsurance treaties with unauthorized and certified ($..........0) reinsurers...................................................... ........................................... ...........................................24.04 Payable to parent, subsidiaries and affiliates................................................................................................................................. ..........................7,311,997 ..........................3,772,55024.05 Drafts outstanding.......................................................................................................................................................................... ........................................... ...........................................24.06 Liability for amounts held under uninsured plans........................................................................................................................... ........................................... ...........................................24.07 Funds held under coinsurance....................................................................................................................................................... ........................................... ...........................................24.08 Derivatives..................................................................................................................................................................................... ........................................... ...........................................24.09 Payable for securities..................................................................................................................................................................... ........................10,235,331 ...........................................24.10 Payable for securities lending........................................................................................................................................................ ........................................... ...........................................24.11 Capital notes $..........0 and interest thereon $..........0................................................................................................................... ........................................... ...........................................

25. Aggregate write-ins for liabilities................................................................................................................................................................ ..........................4,085,488 ..........................4,299,16726. Total liabilities excluding Separate Accounts business (Lines 1 to 25)..................................................................................................... ...................1,295,852,811 ...................1,219,695,08727. From Separate Accounts statement.......................................................................................................................................................... ...................2,478,854,096 ...................2,262,705,27228. Total liabilities (Lines 26 and 27)............................................................................................................................................................... ...................3,774,706,907 ...................3,482,400,35929. Common capital stock............................................................................................................................................................................... ..........................2,500,000 ..........................2,500,00030. Preferred capital stock............................................................................................................................................................................... ........................................... ...........................................31. Aggregate write-ins for other-than-special surplus funds.......................................................................................................................... ........................................0 ........................................032. Surplus notes............................................................................................................................................................................................. ........................................... ...........................................33. Gross paid in and contributed surplus....................................................................................................................................................... ......................463,235,000 ......................463,235,00034. Aggregate write-ins for special surplus funds............................................................................................................................................ ........................................0 ........................................035. Unassigned funds (surplus)....................................................................................................................................................................... .....................(211,172,198) .....................(243,288,156)36. Less treasury stock, at cost:

36.1 .....0.000 shares common (value included in Line 29 $..........0).................................................................................................... ........................................... ...........................................36.2 .....0.000 shares preferred (value included in Line 30 $..........0).................................................................................................... ........................................... ...........................................

37. Surplus (Total Lines 31 + 32 + 33 + 34 + 35 - 36) (including $.....18,090,311 in Separate Accounts Statement).................................... ......................252,062,802 ......................219,946,84438. Totals of Lines 29, 30 and 37.................................................................................................................................................................... ......................254,562,802 ......................222,446,84439. Totals of Lines 28 and 38 (Page 2, Line 28, Col. 3).................................................................................................................................. ...................4,029,269,709 ...................3,704,847,203

DETAILS OF WRITE-INS2501. Miscellaneous liabilities............................................................................................................................................................................. ..........................4,085,488 ..........................4,299,1672502. ................................................................................................................................................................................................................... ........................................... ...........................................2503. ................................................................................................................................................................................................................... ........................................... ...........................................2598. Summary of remaining write-ins for Line 25 from overflow page.............................................................................................................. ........................................0 ........................................02599. Totals (Lines 2501 thru 2503 plus 2598) (Line 25 above)......................................................................................................................... ..........................4,085,488 ..........................4,299,1673101. ................................................................................................................................................................................................................... ........................................... ...........................................3102. ................................................................................................................................................................................................................... ........................................... ...........................................3103. ................................................................................................................................................................................................................... ........................................... ...........................................3198. Summary of remaining write-ins for Line 31 from overflow page.............................................................................................................. ........................................0 ........................................03199. Totals (Lines 3101 thru 3103 plus 3198) (Line 31 above)......................................................................................................................... ........................................0 ........................................03401. ................................................................................................................................................................................................................... ........................................... ...........................................3402. ................................................................................................................................................................................................................... ........................................... ...........................................3403. ................................................................................................................................................................................................................... ........................................... ...........................................3498. Summary of remaining write-ins for Line 34 from overflow page.............................................................................................................. ........................................0 ........................................03499. Totals (Lines 3401 thru 3403 plus 3498) (Line 34 above)......................................................................................................................... ........................................0 ........................................0


Q04

SUMMARY OF OPERATIONS1 2 3

Current Prior Prior Year EndedYear to Date Year to Date December 31

1. Premiums and annuity considerations for life and accident and health contracts................................................................... ..............161,609,202 ..............138,834,579 ..............591,379,9832. Considerations for supplementary contracts with life contingencies....................................................................................... ................................... ................................... ...................................3. Net investment income............................................................................................................................................................ ................12,771,269 ................11,898,382 ................48,417,7114. Amortization of Interest Maintenance Reserve (IMR)............................................................................................................. .........................7,365 .....................164,043 .....................760,2185. Separate Accounts net gain from operations excluding unrealized gains or losses............................................................... .....................218,684 .......................93,642 ....................(289,531)6. Commissions and expense allowances on reinsurance ceded............................................................................................... ..................4,557,256 ..................6,427,251 ................25,093,0277. Reserve adjustments on reinsurance ceded........................................................................................................................... ................................... ................................... ...................................8. Miscellaneous Income:

8.1 Income from fees associated with investment management, administration and contract guaranteesfrom Separate Accounts................................................................................................................................................ ..................8,931,222 ................12,223,148 ................49,089,715

8.2 Charges and fees for deposit-type contracts................................................................................................................. ................................... ................................... ...................................8.3 Aggregate write-ins for miscellaneous income.............................................................................................................. .....................590,881 .....................534,822 ..................2,258,274

9. Totals (Lines 1 to 8.3)............................................................................................................................................................. ..............188,685,879 ..............170,175,867 ..............716,709,39710. Death benefits......................................................................................................................................................................... ................29,081,771 ................18,089,644 ................78,440,39011. Matured endowments (excluding guaranteed annual pure endowments).............................................................................. ................................... ................................... ...................................12. Annuity benefits....................................................................................................................................................................... ................................... ................................... ...................................13. Disability benefits and benefits under accident and health contracts...................................................................................... ..................4,808,436 ..................2,555,791 ................10,689,94214. Coupons, guaranteed annual pure endowments and similar benefits.................................................................................... ................................... ................................... ...................................15. Surrender benefits and withdrawals for life contracts............................................................................................................. ..................7,113,213 ..................6,639,585 ................38,295,02016. Group conversions.................................................................................................................................................................. ................................... ................................... ...................................17. Interest and adjustments on contract or deposit-type contract funds...................................................................................... .....................145,105 .......................10,563 .....................377,75318. Payments on supplementary contracts with life contingencies............................................................................................... ................................... ................................... ...................................19. Increase in aggregate reserves for life and accident and health contracts............................................................................. ................73,441,585 ................69,932,527 ..............282,807,20220. Totals (Lines 10 to 19)............................................................................................................................................................ ..............114,590,110 ................97,228,110 ..............410,610,30721. Commissions on premiums, annuity considerations and deposit-type contract funds (direct business only)......................... ................28,754,542 ................26,761,360 ..............118,009,25322. Commissions and expense allowances on reinsurance assumed.......................................................................................... ................................... ................................... ...................................23. General insurance expenses and fraternal expenses............................................................................................................. ................30,712,095 ................32,398,662 ..............125,652,31724. Insurance taxes, licenses and fees, excluding federal income taxes...................................................................................... ..................5,064,987 ..................3,713,914 ................12,680,78225. Increase in loading on deferred and uncollected premiums.................................................................................................... ................................... ................................... ...................................26. Net transfers to or (from) Separate Accounts net of reinsurance............................................................................................ .................(1,617,966) .................(5,309,349) ................12,556,12327. Aggregate write-ins for deductions.......................................................................................................................................... ................19,195,452 ................36,416,932 ..............120,053,36228. Totals (Lines 20 to 27)............................................................................................................................................................ ..............196,699,220 ..............191,209,629 ..............799,562,14429. Net gain from operations before dividends to policyholders and federal income taxes (Line 9 minus Line 28)...................... .................(8,013,341) ...............(21,033,762) ...............(82,852,747)30. Dividends to policyholders and refunds to members.............................................................................................................. ................................... ................................... ...................................31. Net gain from operations after dividends to policyholders, refunds to members and

before federal income taxes (Line 29 minus Line 30)............................................................................................................. .................(8,013,341) ...............(21,033,762) ...............(82,852,747)32. Federal and foreign income taxes incurred (excluding tax on capital gains).......................................................................... .................(7,597,717) ..................1,328,449 ..................7,585,73733. Net gain from operations after dividends to policyholders, refunds to members and federal income taxes and

before realized capital gains or (losses) (Line 31 minus Line 32)........................................................................................... ....................(415,624) ...............(22,362,211) ...............(90,438,484)34. Net realized capital gains (losses) (excluding gains (losses) transferred to the IMR) less capital gains

tax of $.....5,794,363 (excluding taxes of $.....(72,171) transferred to the IMR)...................................................................... ................21,341,286 ..................7,753,498 ..................1,038,04535. Net income (Line 33 plus Line 34).......................................................................................................................................... ................20,925,662 ...............(14,608,713) ...............(89,400,439)

CAPITAL AND SURPLUS ACCOUNT36. Capital and surplus, December 31, prior year......................................................................................................................... ..............222,446,844 ..............302,663,664 ..............302,663,66437. Net income (Line 35)............................................................................................................................................................... ................20,925,662 ...............(14,608,713) ...............(89,400,439)38. Change in net unrealized capital gains (losses) less capital gains tax of $.....3,762,615....................................................... ................14,154,600 ...............(10,905,923) ...............(28,131,230)39. Change in net unrealized foreign exchange capital gain (loss)............................................................................................... ................................... ................................... ...................................40. Change in net deferred income tax......................................................................................................................................... .................(5,057,801) ..................9,044,509 ................35,593,58341. Change in nonadmitted assets................................................................................................................................................ ..................6,920,294 ...............(10,976,529) ...............(32,023,752)42. Change in liability for reinsurance in unauthorized and certified companies.......................................................................... ................................... ................................... ...................................43. Change in reserve on account of change in valuation basis, (increase) or decrease............................................................. ................................... ................................... ...................................44. Change in asset valuation reserve.......................................................................................................................................... ....................(836,515) ....................(996,558) ....................(882,041)45. Change in treasury stock........................................................................................................................................................ ................................... ................................... ...................................46. Surplus (contributed to) withdrawn from Separate Accounts during period............................................................................ .........................1,751 ................................... ........................(3,127)47. Other changes in surplus in Separate Accounts Statement.................................................................................................... ....................(264,046) ....................(144,831) ....................(487,190)48. Change in surplus notes......................................................................................................................................................... ................................... ................................... ...................................49. Cumulative effect of changes in accounting principles........................................................................................................... ................................... ................................... ...................................50. Capital changes:

50.1 Paid in............................................................................................................................................................................ ................................... ................................... ...................................50.2 Transferred from surplus (Stock Dividend).................................................................................................................... ................................... ................................... ...................................50.3 Transferred to surplus................................................................................................................................................... ................................... ................................... ...................................

51. Surplus adjustment:51.1 Paid in............................................................................................................................................................................ ................................... ................................... ................70,000,00051.2 Transferred to capital (Stock Dividend)......................................................................................................................... ................................... ................................... ...................................51.3 Transferred from capital................................................................................................................................................ ................................... ................................... ...................................51.4 Change in surplus as a result of reinsurance................................................................................................................ .................(3,727,987) .................(5,047,027) ...............(19,782,624)

52. Dividends to stockholders....................................................................................................................................................... ................................... ................................... ...................................53. Aggregate write-ins for gains and losses in surplus................................................................................................................ ................................0 ................................0 ...............(15,100,000)54. Net change in capital and surplus (Lines 37 through 53)........................................................................................................ ................32,115,958 ...............(33,635,072) ...............(80,216,820)55. Capital and surplus as of statement date (Lines 36 + 54)....................................................................................................... ..............254,562,802 ..............269,028,592 ..............222,446,844

DETAILS OF WRITE-INS08.301. Sundry receipts and adjustments.................................................................................................................................. .....................590,881 .....................534,822 ..................2,258,27408.302. ....................................................................................................................................................................................... ................................... ................................... ...................................08.303. ....................................................................................................................................................................................... ................................... ................................... ...................................08.398. Summary of remaining write-ins for Line 8.3 from overflow page................................................................................. ................................0 ................................0 ................................008.399. Totals (Lines 08.301 thru 08.303 plus 08.398) (Line 8.3 above)................................................................................... .....................590,881 .....................534,822 ..................2,258,2742701. Sundry disbursements and adjustments....................................................................................................................... ..................2,376,680 ..................1,607,894 ..................9,464,2972702. Separate Account Modco Reinsurance......................................................................................................................... ................16,818,772 ................34,809,038 ..............110,589,0652703. ....................................................................................................................................................................................... ................................... ................................... ...................................2798. Summary of remaining write-ins for Line 27 from overflow page.................................................................................. ................................0 ................................0 ................................02799. Totals (Lines 2701 thru 2703 plus 2798) (Line 27 above)............................................................................................. ................19,195,452 ................36,416,932 ..............120,053,3625301. Prior Year Correction..................................................................................................................................................... ................................... ................................... ...............(15,100,000)5302. ....................................................................................................................................................................................... ................................... ................................... ...................................5303. ....................................................................................................................................................................................... ................................... ................................... ...................................5398. Summary of remaining write-ins for Line 53 from overflow page.................................................................................. ................................0 ................................0 ................................05399. Totals (Lines 5301 thru 5303 plus 5398) (Line 53 above)............................................................................................. ................................0 ................................0 ...............(15,100,000)


Q05

CASH FLOW1 2 3

Current Year Prior Year Prior Year Endedto Date To Date December 31

CASH FROM OPERATIONS1. Premiums collected net of reinsurance.......................................................................................................................... ...............159,937,490 ...............138,921,083 ...............593,936,9472. Net investment income.................................................................................................................................................. .................11,669,299 .................11,036,432 .................47,585,1563. Miscellaneous income.................................................................................................................................................... .................10,351,373 .................14,138,130 .................56,658,3924. Total (Lines 1 through 3)................................................................................................................................................ ...............181,958,162 ...............164,095,645 ...............698,180,4955. Benefit and loss related payments................................................................................................................................. .................39,014,125 .................24,766,760 ...............119,492,0226. Net transfers to Separate Accounts, Segregated Accounts and Protected Cell Accounts............................................ .................11,074,544 ..................(2,979,731) .................19,855,7297. Commissions, expenses paid and aggregate write-ins for deductions.......................................................................... .................88,960,698 ...............102,292,271 ...............376,598,3808. Dividends paid to policyholders..................................................................................................................................... .................................... .................................... ....................................9. Federal and foreign income taxes paid (recovered) net of $..........0 tax on capital gains (losses)................................ .................................... .................................... ....................................

10. Total (Lines 5 through 9)................................................................................................................................................ ...............139,049,367 ...............124,079,300 ...............515,946,13111. Net cash from operations (Line 4 minus Line 10).......................................................................................................... .................42,908,795 .................40,016,345 ...............182,234,364

CASH FROM INVESTMENTS12. Proceeds from investments sold, matured or repaid:

12.1 Bonds................................................................................................................................................................... ...................9,775,507 ...............189,201,673 ...............284,805,33012.2 Stocks.................................................................................................................................................................. ...................1,946,250 .................................... ....................................12.3 Mortgage loans.................................................................................................................................................... .................................... .................................... ....................................12.4 Real estate........................................................................................................................................................... .................................... .................................... ....................................12.5 Other invested assets.......................................................................................................................................... .................................... .................................... ....................................12.6 Net gains or (losses) on cash, cash equivalents and short-term investments..................................................... .................................... .................................... ....................................12.7 Miscellaneous proceeds...................................................................................................................................... .................38,784,513 .................21,260,890 .................44,899,74112.8 Total investment proceeds (Lines 12.1 to 12.7)................................................................................................... .................50,506,270 ...............210,462,563 ...............329,705,071

13. Cost of investments acquired (long-term only):13.1 Bonds................................................................................................................................................................... .................47,454,668 ...............192,871,645 ...............339,130,00213.2 Stocks.................................................................................................................................................................. .................................... ......................356,000 ...................2,006,00013.3 Mortgage loans.................................................................................................................................................... .................................... .................................... ....................................13.4 Real estate........................................................................................................................................................... .................................... .................................... ....................................13.5 Other invested assets.......................................................................................................................................... .................................... .................................... ....................................13.6 Miscellaneous applications.................................................................................................................................. ...................8,493,125 ......................373,796 ...................9,725,74113.7 Total investments acquired (Lines 13.1 to 13.6).................................................................................................. .................55,947,793 ...............193,601,441 ...............350,861,743

14. Net increase or (decrease) in contract loans and premium notes................................................................................. ...................4,033,900 ...................4,736,023 .................52,951,63715. Net cash from investments (Line 12.8 minus Line 13.7 and Line 14)............................................................................ ..................(9,475,423) .................12,125,099 ................(74,108,309)

CASH FROM FINANCING AND MISCELLANEOUS SOURCES16. Cash provided (applied):

16.1 Surplus notes, capital notes................................................................................................................................. .................................... .................................... ....................................16.2 Capital and paid in surplus, less treasury stock................................................................................................... .................................... .................................... ....................................16.3 Borrowed funds.................................................................................................................................................... .................................... .................................... ....................................16.4 Net deposits on deposit-type contracts and other insurance liabilities................................................................ .......................(28,374) ......................267,454 ......................849,72416.5 Dividends to stockholders.................................................................................................................................... .................................... .................................... ....................................16.6 Other cash provided (applied).............................................................................................................................. .................78,449,452 ................(30,601,705) ................(97,824,750)

17. Net cash from financing and miscellaneous sources (Lines 16.1 through 16.4 minus Line 16.5 plus Line 16.6).......... .................78,421,078 ................(30,334,251) ................(96,975,026)

RECONCILIATION OF CASH, CASH EQUIVALENTS AND SHORT-TERM INVESTMENTS18. Net change in cash, cash equivalents and short-term investments (Line 11 plus Line 15 plus Line 17)....................... ...............111,854,450 .................21,807,193 .................11,151,02919. Cash, cash equivalents and short-term investments:

19.1 Beginning of year................................................................................................................................................. .................48,837,390 .................37,686,360 .................37,686,36019.2 End of period (Line 18 plus Line 19.1)................................................................................................................. ...............160,691,840 .................59,493,553 .................48,837,390

Note: Supplemental disclosures of cash flow information for non-cash transactions:20.0001 ............................................................................................................................................................................. .................................... .................................... ....................................


Q06

EXHIBIT 1 DIRECT PREMIUMS AND DEPOSIT-TYPE CONTRACTS

1 2 3Current Year Prior Year Prior Year

To Date To Date Ended December 31

1. Industrial life........................................................................................................................... ................................................... ................................................... ...................................................

2. Ordinary life insurance........................................................................................................... ..............................161,753,239 ..............................152,473,230 ..............................645,352,892

3. Ordinary individual annuities.................................................................................................. ..................................1,790,164 ..................................5,695,854 ................................16,339,828

4. Credit life (group and individual)............................................................................................. ................................................... ................................................... ...................................................

5. Group life insurance............................................................................................................... ..................................8,125,211 ..................................7,281,010 ................................29,994,294

6. Group annuities...................................................................................................................... ................................................... ................................................... ...................................................

7. A&H - group............................................................................................................................ ..................................9,468,235 ..................................5,882,196 ................................27,427,730

8. A&H - credit (group and individual)........................................................................................ ................................................... ................................................... ...................................................

9. A&H - other............................................................................................................................. ................................................... ................................................... ...................................................

10. Aggregate of all other lines of business................................................................................. ................................................0 ................................................0 ................................................0

11. Subtotal (Lines 1 through 10)................................................................................................. ..............................181,136,849 ..............................171,332,290 ..............................719,114,744

12. Fraternal ( Fraternal Benefit Societies Only).......................................................................... ................................................... ................................................... ...................................................

13. Subtotal (Lines 11 through 12)............................................................................................... ..............................181,136,849 ..............................171,332,290 ..............................719,114,744

14. Deposit-type contracts............................................................................................................ ................................................... ................................................... ...................................................

15. Total (Lines 13 and 14).......................................................................................................... ..............................181,136,849 ..............................171,332,290 ..............................719,114,744

DETAILS OF WRITE-INS

1001. ............................................................................................................................................... ................................................... ................................................... ...................................................

1002. ............................................................................................................................................... ................................................... ................................................... ...................................................

1003. ............................................................................................................................................... ................................................... ................................................... ...................................................

1098. Summary of remaining write-ins for Line 10 from overflow page........................................... ................................................0 ................................................0 ................................................0

1099. Total (Lines 1001 thru 1003 plus 1098) (Line 10 above)........................................................ ................................................0 ................................................0 ................................................0

NOTES TO FINANCIAL STATEMENTS1] Summary of Significant Accounting Policies

A. Accounting Practices

The accompanying financial statements of MONY Life Insurance Company of America (“the Company” or “MLOA”) are presented on the basis of accounting practices prescribed or permitted by the Arizona Department of Insurance (“SAP”).

The Arizona Department of Insurance recognizes only statutory accounting practices prescribed or permitted by the State of Arizona for determining and reporting the financial condition and results of operations of an insurance company, and for determining its solvency under Arizona Insurance Law. The National Association of Insurance Commissioners’ (NAIC) Accounting Practices and Procedures manual (“NAIC SAP”) has been adopted as a component of prescribed or permitted practices by the State of Arizona. There are no differences in net income and capital and surplus between NAIC SAP and SAP for MLOA. See table below:

SSAP # F/S Page F/S Line #March 31,

2019December 31,

2018NET INCOME(1) MONY LIFE INSURANCE COMPANY OF AMERICA state

basis (Page 4, Line 35, Columns 1 & 2) XXX XXX XXX $ 20,925,662 $ (89,400,439)(2) State Prescribed Practices that increase/decrease NAIC SAP

N/A N/A N/A(3) State Permitted Practices that increase/decrease NAIC SAP

N/A N/A N/A(4) NAIC SAP (1 - 2 - 3 = 4) XXX XXX XXX $ 20,925,662 $ (89,400,439)SURPLUS(5) MONY LIFE INSURANCE COMPANY OF AMERICA state

basis (Page 3, line 38, Columns 1 & 2) XXX XXX XXX $254,562,802 $ 222,446,844(6) State Prescribed Practices that increase/decrease NAIC SAP

N/A N/A N/A(7) State Permitted Practices that increase/decrease NAIC SAP

N/A N/A N/A(8) NAIC SAP (5 - 6 - 7 = 8) XXX XXX XXX $254,562,802 $ 222,446,844

B. No significant change.

C. Accounting Policy

(2) Bonds are stated principally at amortized cost, the value of which is based on the effective interest rate method, and are adjusted to regulatory mandated values through the establishment of a valuation allowance, and for impairments in value deemed to be other than temporary through write-downs recorded as realized capital losses.

(6) Loan-backed securities are stated at either amortized cost or the lower of amortized cost or fair value. Prepayment assumptions for loan-backed bonds and structured securities were obtained from broker-dealer survey values or internal estimates. These assumptions are consistent with the current interest rate and economic environment. The retrospective adjustment method is predominately used for securities; the prospective adjustment method was used for issues in default and issues that have a variable interest rate.

D. Going Concern

There is no issue regarding the Company's ability to continue as a going concern.

2] Accounting Changes and Correction of Errors

No significant change.

3] Business Combinations and Goodwill


4] Discontinued Operations


5] Investments

A.-C. No significant change.


Q07

NOTES TO FINANCIAL STATEMENTSD. Loan-Backed Securities

1) Prepayment assumptions for loan-backed bonds and structured securities were obtained from broker-dealer survey values or internal estimates. These assumptions are consistent with the current interest rate and economic environment. The retrospective adjustment method is used to value all securities except issues in default; the prospective adjustment method was used to value issues in default and issues that have a variable interest rate.

2) There were no Loan-backed securities with a recognized other than temporary impairment as of March 31, 2019.

3) There were no loan-backed securities with a recognized other than temporary impairment recorded during the year.

4) All impaired (fair value is less than cost or amortized cost) loan-backed securities for which an other-than-temporary-impairment has not been recognized in earnings as a realized loss (including securities with a recognized other-than-temporary impairment for non-interest related declines when a non-recognized interest related impairment remains) as of March 31, 2019:

a. The aggregate amount of unrealized losses: 1. Less than 12 Months $ 0

2. 12 Months or Longer $ 0b. The aggregate related fair value of

securities with unrealized losses: 1. Less than 12 Months $ 0

2. 12 Months or Longer $ 0

The aggregate unrealized losses of $0 include $0 of valuation allowances already recognized through surplus.

5) The Company’s management, with the assistance of its investment advisors, monitors the investment performance of its portfolio. This review process culminates with a quarterly review of certain assets by AXA Financial’s Investments Under Surveillance Committee that evaluates whether any investments are other than temporarily impaired. The review considers an analysis of individual credit metrics of each issuer as well as industry fundamentals and the outlook for the future. Based on the analysis, a determination is made as to the ability of the issuer to service its debt obligation on an ongoing basis. If this ability is deemed to be impaired, then the appropriate provisions are taken.

E. Dollar Repurchase Agreements and /or Securities Lending Transactions

The Company has not have any dollar repurchase agreements and/or securities lending transactions.

F. Repurchase Agreements Transactions Accounting for as Secured Borrowing

The Company has not have any repurchase agreements transactions accounting for as secured borrowing.

G. Reverse Repurchase Agreements Transactions Accounted for as Secured Borrowing

The Company has not have any reverse repurchase agreements transactions accounted for as secured borrowing.

H. Repurchase Agreements Transactions Accounted for as a Sale

The Company has not have any repurchase agreements transactions accounted for as a sale.

I. Reverse Repurchase Agreements Transactions Accounted for as a Sale

The Company has not have any reverse repurchase agreements transactions accounted for as a sale.

J. Real Estate

The Company does not hold any real estate investments.

K. Low-Income Housing Tax Credits (LIHTC)


L. Restricted Assets


M. Working Capital Finance Investments

The Company does not hold any working capital finance investments.


Q07.1

NOTES TO FINANCIAL STATEMENTS

N. Offsetting and Netting of Assets and Liabilities

Offsetting of Financial Assets and Liabilities and Derivative Assets and LiabilitiesMarch 31, 2019

Gross Net AmountAmounts Amount Presented on

Recognized Offset Balance SheetsASSETSDescriptionEquity $ 39,899,030 $ 1,127,389 $ 38,771,641Interest Rate 0 0 $ 0Total Derivatives, subject to a master netting agreement 39,899,030 1,127,389 38,771,641Total Derivatives, not subject to a master netting agreement 0 0 0

Total Derivatives $ 39,899,030 $ 1,127,389 $ 38,771,641

LIABILITIESDescriptionEquity $ 1,127,389 $ 1,127,389 $ 0Interest Rate 0 0 0Total Derivatives, subject to a master netting agreement 1,127,389 1,127,389 0Total Derivatives, not subject to a master netting agreement 0 0 0

Total Derivatives $ 1,127,389 $ 1,127,389 $ 0

O. Structured Notes


P. 5GI Securities

The Company has not hold any 5GI securities. Q. Short Sales

The Company did not have in any short sales during 2019.

R. Prepayment Penalty and Acceleration Fees No significant changes.

6] Joint Ventures, Partnerships and Limited Liability Companies


7] Investment Income


8] Derivative Instruments

H. Total Premium Costs for Contracts

NONE

9] Income Taxes


10] Information Concerning Parent, Subsidiaries and Affiliates

A. The Company is a wholly owned subsidiary of AXA Equitable Financial Services, LLC (“AXAEFS”) a downstreamholding company of AXA Equitable Holdings, Inc., and collectively with its consolidated subsidiaries referred to hereinas “Equitable Holdings”. Equitable Holdings was a direct wholly-owned subsidiary of AXA S.A. (“AXA”), a Frenchholding company for the AXA Group, a worldwide leader in life, property and casualty and health insurance and assetmanagement. On March 25, 2019, a secondary public offering closed of 40,000,000 common shares of AXA EquitableHoldings, Inc. by AXA. As a result of the offering, AXA now owns 48.3% of AXA Equitable Holdings, Inc. and is nolonger a majority owned subsidiary of AXA.

B. No significant change. C. No significant change.


Q07.2

D. The Company reported amounts due from affiliates of $3.1 million and $74.3 million at March 31, 2019 and December 31, 2018, respectively. The Company reported amounts payable to affiliates of $7.3 million and $3.8 million at March 31, 2019and December 31, 2018, respectively. The receivable and payable for both period are primarily related to capital contribution, expense allocations, reinsurance settlements and commission payables.

E.-M. No significant change.

11] Debt

A. No significant change.

B. Federal Home Loan Bank (“FHLB”)

(1) During 1Q 2019, the Company had no borrowings from FHLB.

(2) a. FHLB Capital Stock – Aggregate Totals:

1. Current Year

1Total2 + 3

2GeneralAccount

3SeparateAccounts

(a) Membership Stock – Class A 0 0 0(b) Membership Stock – Class B $2,006,000 $2,006,000 0(c) Activity Stock $0 $0 0(d) Excess Stock 0 0 0(e) Aggregate Total $2,006,000 $2,006,000 0(f) Actual or estimated borrowing

capacity as determined by the insurer $300,000,000 XXX XXX

b. Membership Stock (Class A and B) Eligible for Redemption

Current PeriodTotal

Not Eligible forRedemption

Less Than 6Months

6 Months to Lessthan 1 Year

1 to Less than 3Years

3 to 5Years

1. Class A 0 0 0 0 0 02. Class B $2,006,000 $2,006,000 0 0 0 0

(3) Collateral pledge to FHLB- None

(4) Borrowings from FHLB- None

12] Retirement plans, Deferred Compensation, Post-employment Benefits and Compensated Absences and Other Postretirement Plans

The Company does not have any Retirement Plans, Deferred Compensation, Postemployment Benefits and Compensated Absences and Other Postretirement Benefit Plans.

13] Capital and Surplus, Shareholders’ Dividend Restrictions and Quasi-Reorganizations


14] Liabilities, Contingencies and Assessments


15] Leases


16] Information About Financial Instruments With Off-Balance Sheet Risk and Financial Instruments With Concentrations of Credit Risk


17] Sale, Transfer and Servicing of Financial Assets and Extinguishments of Liabilities

A. No significant change.

B. Transfer and Servicing of Financial Assets


Q07.3

NOTES TO FINANCIAL STATEMENTSThe Company did not have any transactions related to the transfer and servicing of financial assets and extinguishments of liabilities.

C. Wash Sales

The Company did not sell any securities for the period ended March 31, 2019 that were reacquired within 30 days of the sale date.

18] Gain or Loss to the Reporting Entity from Uninsured A&H Plans and the Uninsured Portion of Partially Insured Plans


19] Direct Premium Written/Produced by Managing General Agents/Third Party Administrators


20] Fair Value Measurement

A. 1) Fair Value Measurement as of March 31, 2019:

Description Level 1 Level 2 Level 3Net Asset Value

(NAV) Totala. Assets at Fair Value :

Bonds:Residential Mortgage-Backed Securities $ — — — — —Commercial Mortgage-Backed Securities — — — — —Other Loan-Backed and StructuredSecurities

— — — — —U.S. Government and Agency — — — — —Other Governments — — — — —States and Political Subdivisions — — — — —Other Corporate — — — — —Parent, Subsidiaries and Affiliates — — — — —Total Bonds $ — $ — $ — $ — $ —

Preferred Stocks:Industrial and Miscellaneous $ — — — — —Parent, Subsidiaries and Affiliates — — — — —Total Preferred Stocks $ — — — — —

Common Stocks:Industrial and Miscellaneous $ — — 2,006,000 — 2,006,000Parent, Subsidiaries and Affiliates — — 56,064,050 — 56,064,050Total Common Stocks $ — $ — $ 58,070,050 $ — $ 58,070,050

Derivative Assets:Swaps $ — — — — —Futures 19,295,150 — — — 19,295,150Options — 19,476,491 — — 19,476,491Floors — — — — —Swaptions — — — — —Total Derivatives $ 19,295,150 $ 19,476,491 $ — $ — 38,771,641

Separate Account Assets* — — — 2,063,533,462 2,063,533,462Total Assets at Fair Value $ 19,295,150 $ 19,476,491 $ 58,070,050 $ 2,063,533,462 $ 2,160,375,153

b. Liabilities at Fair Value:Derivative Liabilities $ — — — — —Total Liabilities at Fair Value $ — — — — —

*Includes only cash and invested assets.


Q07.4

NOTES TO FINANCIAL STATEMENTS2) Fair Value Measurements in Level 3 of the Fair Value Hierarchy:

a. AssetsBeginningBalance,

Jan. 1, 2019Transfers

Into Level 3

TransfersOut ofLevel 3

Total Gainsand (Losses)Included inNet Income

Total Gainsand (Losses)Included in

Surplus Purchases Issuances Sales Settlements

EndingBalance,Mar. 31,

2019Commercialmortgage-backedsecurities $0 0 0 0 $0Common stock -Industrial andMiscellaneous 2,006,000 0 0 0 2,006,000Parent,subsidiaries andaffliliates-stocks 53,017,301 0 3,046,748 0 56,064,049Total $55,023,301 0 0 0 3,046,748 0 0 0 0 $58,070,049b. Liabilities

Beginning Balance,

Jan. 1, 2019Transfers

Into Level 3

TransfersOut ofLevel 3

Total Gainsand (Losses)Included inNet Income

Total Gainsand (Losses)Included in

Surplus Purchases Issuances Sales Settlements

EndingBalance,Mar. 31,

2019

Total

3) There were no transfer into or out of level 3.

4/5) No significant change.

B. N/A

C. The following table discloses carrying value and estimated fair value (defined within the fair value hierarchy) as of March 31, 2019 for financial instruments (in millions):

Type of Financial InstrumentAggregate Fair

Value Admitted Assets (Level 1) (Level 2) (Level 3)Net Asset

Value (NAV)

NotPracticable(Carrying

Value)Bonds $1,100,641,961 $ 1,102,547,583 $ 1,089,708,679 $ 10,933,282Preferred Stock $2,232,900 $ 2,250,000 $ 2,232,900 0 0Common Stock * $76,758,066 $ 58,070,050 $ 76,758,066Mortgage Loans on Real Estate $16,792,800 $ 17,000,000 $ 16,792,800Other Invested Assets $3 $3 $0 0 $3Derivatives $38,771,641 $ 38,771,641 $ 19,295,150 $ 19,476,491Separate Accounts** $2,499,343,009 $ 2,492,626,547 $435,809,547 $2,063,533,462Policy Loans $128,629,786 $ 113,824,464 $ 128,629,786Policyholders liabilities:Investment contracts $4,867,785 $ 4,867,785 $ 4,867,785

*Different between fair value and admitted value represents affiliated holdings of AllianceBernstein units, which for statutory admitted carrying value is discounted by 25% as of March 31, 2019. The discount is based on SSAP #97 sliding scale and approved by the SVO.** Includes only cash and invested assets

D. Not practicable estimate fair value - None

21] Other Items


22] Events Subsequent

No Significant Change.

23] Reinsurance


24] Retrospectively Rated Contracts and Contracts Subject to Redetermination

The Company does not write retrospective rated contracts.

25] Change in Incurred Losses and Loss Adjustment Expenses

There are no material changes in the provision for incurred loss and loss adjustment expenses attributable to insured events of prior years.


Q07.5

NOTES TO FINANCIAL STATEMENTS26] Intercompany Pooling Arrangements


27] Structured Settlements


28] Health Care Receivables


29] Participating Policies


30] Premium Deficiency Reserves


31] Reserves for Life Contracts and Deposit – Type Contracts


32] Analysis of Annuity Actuarial Reserves and Deposit Liabilities by Withdrawal Characteristics


33] Premium and Annuity Considerations Deferred and Uncollected


34] Separate Accounts


35] Loss/Claim Adjustment Expenses



Q07.6


Q08

GENERAL INTERROGATORIESPART 1 - COMMON INTERROGATORIES

GENERAL1.1 Did the reporting entity experience any material transactions requiring the filing of Disclosure of Material Transactions with the State of Domicile,

as required by the Model Act? Yes [ ] No [ X ]

1.2 If yes, has the report been filed with the domiciliary state? Yes [ ] No [ ]

2.1 Has any change been made during the year of this statement in the charter, by-laws, articles of incorporation, or deed of settlement of thereporting entity? Yes [ ] No [ X ]

2.2 If yes, date of change:

3.1 Is the reporting entity a member of an Insurance Holding Company System consisting of two or more affiliated persons, one or more of which is an insurer? Yes [ X ] No [ ]If yes, complete Schedule Y, Parts 1 and 1A.

3.2 Have there been any substantial changes in the organizational chart since the prior quarter end? Yes [ X ] No [ ]

3.3 If the response to 3.2 is yes, provide a brief description of those changes.

On March 25, 2019, a secondary public offering closed of 40,000,000 common shares of AXA Equitable Holdings, Inc. by AXA. As a result of the offering, AXA now owns 48.3% of AXAEquitable Holdings, Inc. and is no longer a majority owned subsidiary of AXA.

3.4 Is the reporting entity publicly traded or a member of a publicly traded group? Yes [ X ] No [ ]

3.5 If the response to 3.4 is yes, provide the CIK (Central Index Key) code issued by the SEC for the entity/group. 1333986

4.1 Has the reporting entity been a party to a merger or consolidation during the period covered by this statement? Yes [ ] No [ X ]If yes, complete and file the merger history data file with the NAIC for the annual filing corresponding to this period.

4.2 If yes, provide name of entity, NAIC Company Code, and state of domicile (use two letter state abbreviation) for any entity that has ceased to exist as aresult of the merger or consolidation.

1 2 3

Name of Entity

NAICCompany

CodeState ofDomicile

5. If the reporting entity is subject to a management agreement, including third-party administrator(s), managing general agent(s), attorney-in-fact, orsimilar agreement, have there been any significant changes regarding the terms of the agreement or principals involved?If yes, attach an explanation. Yes [ ] No [X ] N/A [ ]

6.1 State as of what date the latest financial examination of the reporting entity was made or is being made. 12/31/2015

6.2 State the as of date that the latest financial examination report became available from either the state of domicile or the reporting entity. This dateshould be the date of the examined balance sheet and not the date the report was completed or released. 12/31/2015

6.3 State as of what date the latest financial examination report became available to other states or the public from either the state of domicile or thereporting entity. This is the release date or completion date of the examination report and not the date of the examination (balance sheet date). 06/16/2017

6.4 By what department or departments?

Department of Insurance of the State of Arizona

6.5 Have all financial statement adjustments within the latest financial examination report been accounted for in a subsequent financial statement filedwith Departments? Yes [ ] No [ ] N/A [ X ]

6.6 Have all of the recommendations within the latest financial examination report been complied with? Yes [ ] No [ ] N/A [ X ]

7.1 Has this reporting entity had any Certificates of Authority, licenses or registrations (including corporate registration, if applicable) suspended or revokedby any governmental entity during the reporting period? Yes [ ] No [ X ]

7.2 If yes, give full information:

8.1 Is the company a subsidiary of a bank holding company regulated with the Federal Reserve Board? Yes [ ] No [ X ]

8.2 If response to 8.1 is yes, please identify the name of the bank holding company.

8.3 Is the company affiliated with one or more banks, thrifts or securities firms? Yes [ X ] No [ ]

8.4 If the response to 8.3 is yes, please provide below the names and location (city and state of the main office) of any affiliates regulated by a federalregulatory services agency [i.e. the Federal Reserve Board (FRB), the Office of the Comptroller of the Currency (OCC), the Federal Deposit InsuranceCorporation (FDIC) and the Securities Exchange Commission (SEC)] and identify the affiliate’s primary federal regulator].

1 2 3 4 5 6Affiliate Name Location (City, State) FRB OCC FDIC SEC

AllianceBernstein Corporation New York, NY YesAllianceBernstein Global Derivatives Corporation New York, NY YesAllianceBernstein Holding LP New York, NY YesAllianceBernstein Investments Inc. New York, NY YesAllianceBernstein LP New York, NY YesAllianceBernstein Real Estate Investments LLC New York, NY YesAB Private Credit Investors LLC New York, NY YesAB Custom Alternative Investments LLC New York, NY YesAXA Advisors, LLC New York, NY YesAXA Equitable Funds Management Group, LLC New York, NY YesAXA Distributors, LLC New York, NY YesAXA Investment Managers Inc. Greenwich, CT YesAXA Real Estate Investment Managers US, LLC New York, NY YesAXA Rosenberg Investment Management, LLC Orinda, CA YesSanford C. Bernstein & Co., LLC New York, NY YesAXA Equitable Life Insurance Company New York, NY YesAXA Equitable Holdings Inc. New York, NY YesW.P. Stewart Asset Management Ltd. New York, NY YesW.P. Stewart & Co., LLC. New York, NY Yes


Q08.1


9.1 Are the senior officers (principal executive officer, principal financial officer, principal accounting officer or controller, or persons performing similarfunctions) of the reporting entity subject to a code of ethics, which includes the following standards? Yes [ X ] No [ ]

(a) Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships;

(b) Full, fair, accurate, timely and understandable disclosure in the periodic reports required to be filed by the reporting entity;

(c) Compliance with applicable governmental laws, rules and regulations;

(d) The prompt internal reporting of violations to an appropriate person or persons identified in the code; and

(e) Accountability for adherence to the code.

9.11 If the response to 9.1 is No, please explain:

9.2 Has the code of ethics for senior managers been amended? Yes [ ] No [ X ]

9.21 If the response to 9.2 is Yes, provide information related to amendment(s).

9.3 Have any provisions of the code of ethics been waived for any of the specified officers? Yes [ ] No [ X ]

9.31 If the response to 9.3 is Yes, provide the nature of any waiver(s).

FINANCIAL10.1 Does the reporting entity report any amounts due from parent, subsidiaries or affiliates on Page 2 of this statement? Yes [ X ] No [ ]

10.2 If yes, indicate any amounts receivable from parent included in the Page 2 amount: $ 0

INVESTMENT11.1 Were any of the stocks, bonds, or other assets of the reporting entity loaned, placed under option agreement, or otherwise made available for

use by another person? (Exclude securities under securities lending agreements.) Yes [ X ] No [ ]

11.2 If yes, give full and complete information relating thereto:

Exceptions are listed in Schedule of Special Deposits

12. Amount of real estate and mortgages held in other invested assets in Schedule BA: $ 0

13. Amount of real estate and mortgages held in short-term investments: $ 0

14.1 Does the reporting entity have any investments in parent, subsidiaries and affiliates? Yes [ X ] No [ ]

14.2 If yes, please complete the following:1 2

Prior Year End Book/AdjustedCarrying Value

Current Quarter Book/AdjustedCarrying Value

14.21 Bonds $ 0 $ 014.22 Preferred Stock 0 014.23 Common Stock 53,017,300 56,064,05014.24 Short-Term Investments 0 014.25 Mortgage Loans on Real Estate 0 014.26 All Other 0 014.27 Total Investment in Parent, Subsidiaries and Affiliates (Subtotal Lines 14.21 to 14.26) $ 53,017,300 $ 56,064,05014.28 Total Investment in Parent included in Lines 14.21 to 14.26 above $ 0 $ 0

15.1 Has the reporting entity entered into any hedging transactions reported on Schedule DB? Yes [ X ] No [ ]

15.2 If yes, has a comprehensive description of the hedging program been made available to the domiciliary state? Yes [ X ] No [ ]

If no, attach a description with this statement.

16. For the reporting entity's security lending program, state the amount of the following as of current statement date:

16.1 Total fair value of reinvested collateral assets reported on Schedule DL, Parts 1 and 2: $ 0

16.2 Total book adjusted/carrying value of reinvested collateral assets reported on Schedule DL, Parts 1 and 2: $ 0

16.3 Total payable for securities lending reported on the liability page: $ 0

17. Excluding items in Schedule E-Part 3-Special Deposits, real estate, mortgage loans and investments held physically in the reporting entity'soffices, vaults or safety deposit boxes, were all stocks, bonds and other securities, owned throughout the current year held pursuant to acustodial agreement with a qualified bank or trust company in accordance with Section 1, III - General Examination Considerations, F. Outsourcingof Critical Functions, Custodial or Safekeeping Agreements of the NAIC Financial Condition Examiners Handbook? Yes [ X ] No [ ]

17.1 For all agreements that comply with the requirements of the NAIC Financial Condition Examiners Handbook, complete the following:1 2

Name of Custodian(s) Custodian AddressJPMorgan Chase 270 Park Avenue, New York, NY 10017BNY Mellon Liquidity Direct One Wall Street, New York, NY 10286

17.2 For all agreements that do not comply with the requirements of the NAIC Financial Condition Examiners Handbook, provide the name,location and a complete explanation:

1 2 3Name(s) Location(s) Complete Explanation(s)

17.3 Have there been any changes, including name changes, in the custodian(s) identified in 17.1 during the current quarter? Yes [ ] No [ X ]

17.4 If yes, give full and complete information relating thereto:1 2 3 4

Old Custodian New CustodianDate ofChange Reason


Q08.2


17.5 Investment management – Identify all investment advisors, investment managers, broker/dealers, including individuals that have the authority to make investment decisions on behalfof the reporting entity. For assets that are managed internally by employees of the reporting entity, note as such ["…that have access to the investment accounts", "handlesecurities"].

1 2Name of Firm or Individual Affiliation

AXA Equitable Agrifinance, LLC AQuadrant Real Estate Advisors, LLC UAlliance Bernstein, LP A

17.5097 For those firms/individuals listed in the table for Question 17.5, do any firms/individuals unaffiliated with the reporting entity (i.e., designated with a "U")manage more than 10% of the reporting entity's assets? Yes [ ] No [ X ]

17.5098 For firms/individuals unaffiliated with the reporting entity (i.e., designated with a "U") listed in the table for Question 17.5, does the total assets undermanagement aggregate to more than 50% of the reporting entity's assets? Yes [ ] No [ X ]

17.6 For those firms or individuals listed in the table for 17.5 with an affiliation code of "A" (affiliated) or "U" (unaffiliated), provide the information for the table below.1 2 3 4 5

Central Registration DepositoryNumber Name of Firm or Individual Legal Entity Identifier (LEI) Registered With

InvestmentManagement

Agreement (IMA) FiledAXA Equitable Agrifinance, LLC 5493003SYWQCN68VWG95 Domiciled in the state of

Delaware with a foreignqualification in both North andSouth Dakota

No

138077 Quadrant Real Estate Advisors LLC SEC No108477 Alliance Bernstein, LP 0JK55UGWSWNF3X7KLQ85 SEC DS

18.1 Have all the filing requirements of the Purposes and Procedures Manual of the NAIC Investment Analysis Office been followed? Yes [ X ] No [ ]

18.2 If no, list exceptions:

19. By self-designating 5GI securities, the reporting entity is certifying the following elements for each self-designated 5GI security:a. Documentation necessary to permit a full credit analysis of the security does not exist or an NAIC CRP credit rating for an

FE or PL security is not available.b. Issuer or obligor is current on all contracted interest and principal payments.c. The insurer has an actual expectation of ultimate payment of all contracted interest and principal.Has the reporting entity self-designated 5GI securities? Yes [ ] No [ X ]

20. By self-designating PLGI securities, the reporting entity is certifying the following elements for each self-designated PLGI security:a. The security was purchased prior to January 1, 2018.b. The reporting entity is holding capital commensurate with the NAIC Designation reported for the security.c. The NAIC Designation was derived from the credit rating assigned by an NAIC CRP in its legal capacity as a NRSRO which is

shown on a current private letter rating held by the insurer and available for examination by state insurance regulators.d. The reporting entity is not permitted to share this credit rating of the PL security with the SVO.Has the reporting entity self-designated PLGI securities? Yes [ ] No [ X ]


Q09

GENERAL INTERROGATORIES (continued) PART 2 - LIFE AND ACCIDENT AND HEALTH COMPANIES/FRATERNAL BENEFIT SOCIETIES

Life and Accident and Health Companies/Fraternal Benefit Societies1. Report the statement value of mortgage loans at the end of this reporting period for the following categories:1.1 Long-term mortgages in good standing Amount

1.11 Farm mortgages........................................................................................................................................................................................................................ $.............................................1.12 Residential mortgages............................................................................................................................................................................................................... $.............................................1.13 Commercial mortgages............................................................................................................................................................................................................. $..........................17,000,0001.14 Total mortgages in good standing............................................................................................................................................................................................. $..........................17,000,000

1.2 Long-term mortgages in good standing with restructured terms1.21 Total mortgages in good standing with restructured terms........................................................................................................................................................ $.............................................

1.3 Long-term mortgage loans upon which interest is overdue more than three months1.31 Farm mortgages........................................................................................................................................................................................................................ $.............................................1.32 Residential mortgages............................................................................................................................................................................................................... $.............................................1.33 Commercial mortgages............................................................................................................................................................................................................. $.............................................1.34 Total mortgages with interest overdue more than three months............................................................................................................................................... $..........................................0

1.4 Long-term mortgage loans in process of foreclosure1.41 Farm mortgages........................................................................................................................................................................................................................ $.............................................1.42 Residential mortgages............................................................................................................................................................................................................... $.............................................1.43 Commercial mortgages............................................................................................................................................................................................................. $.............................................1.44 Total mortgages in process of foreclosure................................................................................................................................................................................ $..........................................0

1.5 Total mortgage loans (Lines 1.14 + 1.21 + 1.34 + 1.44) (Page 2, Column 3, Lines 3.1 + 3.2) .......................................................................................................... $..........................17,000,0001.6 Long-term mortgages foreclosed, properties transferred to real estate in current quarter

1.61 Farm mortgages........................................................................................................................................................................................................................ $.............................................1.62 Residential mortgages............................................................................................................................................................................................................... $.............................................1.63 Commercial mortgages............................................................................................................................................................................................................. $.............................................1.64 Total mortgages foreclosed and transferred to real estate........................................................................................................................................................ $..........................................0

2. Operating Percentages:2.1 A&H loss percent....................................................................................................................................................................................................................... .......................................92.12.2 A&H cost containment percent.................................................................................................................................................................................................. .........................................0.62.3 A&H expense percent excluding cost containment expenses................................................................................................................................................... .....................................157.9

3.1 Do you act as a custodian for health savings accounts?...................................................................................................................................................................... Yes [ ] No [ X ]3.2 If yes, please provide the amount of custodial funds held as of the reporting date.............................................................................................................................. $.............................................3.3 Do you act as an administrator for health savings accounts?............................................................................................................................................................... Yes [ ] No [ X ]3.4 If yes, please provide the balance of the funds administered as of the reporting date......................................................................................................................... $.............................................4. Is the reporting entity licensed or chartered, registered, qualified, eligible or writing business in at least two states?......................................................................... Yes [ X ] No [ ]4.1 If no, does the reporting entity assume reinsurance business that covers risks residing in at least one state other than the state of domicile

of the reporting entity?.......................................................................................................................................................................................................................... Yes [ ] No [ ]

Fraternal Benefit Societies Only:5.1 In all cases where the reporting entity has assumed accident and health risks from another company, provisions should be made in this statement

on account of such reinsurance for reserve equal to that which the original company would have been required to establish had it retained therisks. Has this been done? Yes [ ] No [ ] N/A [X ]

5.2 If no, explain:

6.1 Does the reporting entity have outstanding assessments in the form of liens against policy benefits that have increased surplus? Yes [ ] No [ X ]6.2 If yes, what is the date(s) of the original lien and the total outstanding balance of liens that remain in surplus?

Date Outstanding Lien Amount...................................................................


Q10

SCHEDULE S - CEDED REINSURANCE Showing All New Reinsurance Treaties - Current Year to Date

1 2 3 4 5 6 7 8 9

NAICCompany

Code ID NumberEffective

Date Name of ReinsurerDomiciliaryJurisdiction

Type ofReinsurance

CededType of

Reinsurer

CertifiedReinsurer Rating

(1 through 6)

Effective Dateof CertifiedReinsurer

Rating

NONE


Q11

SCHEDULE T - PREMIUMS AND ANNUITY CONSIDERATIONS Current Year to Date - Allocated by States and Territories

1 Direct Business OnlyLife Contracts 4 5 6 7

2 3

States, Etc.

ActiveStatus

(a)Life Insurance

PremiumsAnnuity

Considerations

A&H InsurancePremiums,

Including PolicyMembership and

Other FeesOther

ConsiderationsTotal Columns 2

through 5Deposit-Type

Contracts1. Alabama.......................................................................................AL ......L.... ...........2,992,463 ................20,055 ..............411,280 .......................... .............3,423,798 ........................2. Alaska..........................................................................................AK ......L.... ................96,356 ..................3,041 ............................ .......................... ..................99,396 ........................3. Arizona.........................................................................................AZ ......L.... ...........2,266,854 .....................897 ..............134,354 .......................... .............2,402,105 ........................4. Arkansas.....................................................................................AR ......L.... ..............802,923 ............................ ................42,466 .......................... ................845,389 ........................5. California.....................................................................................CA ......L.... .........26,663,621 ..............128,939 ...........1,266,074 .......................... ...........28,058,634 ........................6. Colorado.....................................................................................CO ......L.... ...........2,791,098 ..................1,550 ................95,860 .......................... .............2,888,508 ........................7. Connecticut..................................................................................CT ......L.... ...........1,563,820 ................39,400 ..............425,789 .......................... .............2,029,009 ........................8. Delaware.....................................................................................DE ......L.... ..............466,920 .....................150 ................16,090 .......................... ................483,160 ........................9. District of Columbia.....................................................................DC ......L.... ..............278,437 ..................3,000 ................11,220 .......................... ................292,657 ........................10. Florida..........................................................................................FL ......L.... .........18,198,340 ................49,341 ..............150,969 .......................... ...........18,398,649 ........................11. Georgia.......................................................................................GA ......L.... ...........5,427,201 ..................3,450 ..............396,056 .......................... .............5,826,707 ........................12. Hawaii...........................................................................................HI ......L.... ..............571,253 ..................2,000 ..................4,713 .......................... ................577,966 ........................13. Idaho.............................................................................................ID ......L.... ..............296,524 ................13,707 ................28,882 .......................... ................339,113 ........................14. Illinois.............................................................................................IL ......L.... ...........8,535,977 ................20,315 ..............628,692 .......................... .............9,184,985 ........................15. Indiana..........................................................................................IN ......L.... ...........1,015,134 ..................4,800 ................53,400 .......................... .............1,073,334 ........................16. Iowa...............................................................................................IA ......L.... ..............537,203 ..................3,440 ................72,244 .......................... ................612,887 ........................17. Kansas.........................................................................................KS ......L.... ...........1,258,688 ................56,600 ................11,977 .......................... .............1,327,265 ........................18. Kentucky......................................................................................KY ......L.... ...........1,094,599 ................17,974 ................68,054 .......................... .............1,180,626 ........................19. Louisiana......................................................................................LA ......L.... ...........3,329,011 .....................928 ..............984,163 .......................... .............4,314,102 ........................20. Maine..........................................................................................ME ......L.... ..............192,631 .....................400 ..............172,825 .......................... ................365,855 ........................21. Maryland.....................................................................................MD ......L.... ...........2,508,109 ................61,029 .................(5,262) .......................... .............2,563,876 ........................22. Massachusetts............................................................................MA ......L.... ...........2,156,812 ................77,478 ...........1,421,387 .......................... .............3,655,677 ........................23. Michigan.......................................................................................MI ......L.... ...........3,301,244 ..................9,431 ..............332,711 .......................... .............3,643,386 ........................24. Minnesota...................................................................................MN ......L.... ...........2,439,262 .....................250 ................38,129 .......................... .............2,477,641 ........................25. Mississippi...................................................................................MS ......L.... ..............583,280 ..............104,577 ................21,034 .......................... ................708,890 ........................26. Missouri......................................................................................MO ......L.... ...........2,096,310 ................61,412 ..............113,202 .......................... .............2,270,924 ........................27. Montana......................................................................................MT ......L.... ................95,047 ............................ ................15,157 .......................... ................110,204 ........................28. Nebraska.....................................................................................NE ......L.... ..............591,867 ............................ ..................9,546 .......................... ................601,413 ........................29. Nevada........................................................................................NV ......L.... ...........4,485,933 ..................1,208 ................26,707 .......................... .............4,513,848 ........................30. New Hampshire..........................................................................NH ......L.... ..............242,944 ............................ ..............115,668 .......................... ................358,612 ........................31. New Jersey..................................................................................NJ ......L.... .........14,232,512 ..................5,380 ..............186,057 .......................... ...........14,423,949 ........................32. New Mexico................................................................................NM ......L.... ..............494,223 .....................742 ................12,084 .......................... ................507,048 ........................33. New York.....................................................................................NY ......N... ...........1,680,807 ..................1,400 ..............760,893 .......................... .............2,443,100 ........................34. North Carolina.............................................................................NC ......L.... ...........6,401,403 ................28,413 ..............268,832 .......................... .............6,698,648 ........................35. North Dakota...............................................................................ND ......L.... ..............111,495 .....................334 ................26,562 .......................... ................138,391 ........................36. Ohio.............................................................................................OH ......L.... ...........3,348,031 ..............102,795 ...............(21,563) .......................... .............3,429,263 ........................37. Oklahoma....................................................................................OK ......L.... ..............999,151 ..................7,300 ................28,651 .......................... .............1,035,103 ........................38. Oregon........................................................................................OR ......L.... ..............768,956 ..................1,970 ................10,669 .......................... ................781,595 ........................39. Pennsylvania...............................................................................PA ......L.... ...........7,588,387 ..............739,144 ..............260,715 .......................... .............8,588,245 ........................40. Rhode Island................................................................................RI ......L.... ..............192,779 ............................ ................34,847 .......................... ................227,627 ........................41. South Carolina............................................................................SC ......L.... ...........1,931,856 .....................400 ..............109,137 .......................... .............2,041,393 ........................42. South Dakota..............................................................................SD ......L.... ..............859,897 ............................ ................38,121 .......................... ................898,018 ........................43. Tennessee...................................................................................TN ......L.... ...........1,429,619 ..................4,000 ................84,602 .......................... .............1,518,222 ........................44. Texas...........................................................................................TX ......L.... .........14,295,898 ..............167,169 ..............381,981 .......................... ...........14,845,047 ........................45. Utah.............................................................................................UT ......L.... ...........2,538,775 ................13,515 ............................ .......................... .............2,552,290 ........................46. Vermont.......................................................................................VT ......L.... ..............499,874 ............................ ................24,485 .......................... ................524,359 ........................47. Virginia.........................................................................................VA ......L.... ...........5,349,109 ..................2,441 ................25,984 .......................... .............5,377,534 ........................48. Washington................................................................................WA ......L.... ...........2,549,177 ..................3,877 ..................7,394 .......................... .............2,560,449 ........................49. West Virginia..............................................................................WV ......L.... ..............417,244 ................20,020 ................20,331 .......................... ................457,596 ........................50. Wisconsin.....................................................................................WI ......L.... ...........2,039,969 ..................5,895 ................82,110 .......................... .............2,127,974 ........................51. Wyoming.....................................................................................WY ......L.... ..............299,906 ............................ ................45,258 .......................... ................345,165 ........................52. American Samoa.........................................................................AS ......N... ............................ ............................ ............................ .......................... ...........................0 ........................53. Guam..........................................................................................GU ......N... ..................1,140 ............................ ............................ .......................... ....................1,140 ........................54. Puerto Rico..................................................................................PR ......L.... ................51,546 ............................ ............................ .......................... ..................51,546 ........................55. US Virgin Islands..........................................................................VI ......L.... ..................7,939 ............................ ............................ .......................... ....................7,939 ........................56. Northern Mariana Islands...........................................................MP ......N... ............................ ............................ ............................ .......................... ...........................0 ........................57. Canada.....................................................................................CAN ......N... .....................845 ............................ ............................ .......................... .......................845 ........................58. Aggregate Other Alien................................................................OT ..XXX.. ...........4,922,701 .........................0 .........................0 .......................0 .............4,922,701 .....................059. Subtotal............................................................................................ ..XXX.. .......169,893,102 ...........1,790,164 ...........9,450,537 .......................0 .........181,133,803 .....................090. Reporting entity contributions for employee benefit plans.............. ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................91. Dividends or refunds applied to purchase paid-up

additions and annuities.................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................92. Dividends or refunds applied to shorten endowment or

premium paying period.................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................93. Premium or annuity considerations waived under disability

or other contract provisions.............................................................. ..XXX.. ..............190,737 ............................ ..................3,331 .......................... ................194,068 ........................94. Aggregate other amounts not allocable by State............................ ..XXX.. .........................0 .........................0 .........................0 .......................0 ...........................0 .....................095. Totals (Direct Business)................................................................... ..XXX.. .......170,083,839 ...........1,790,164 ...........9,453,868 .......................0 .........181,327,870 .....................096. Plus Reinsurance Assumed............................................................. ..XXX.. ...........2,612,430 ............................ ............................ .......................... .............2,612,430 ........................97. Totals (All Business)......................................................................... ..XXX.. .......172,696,269 ...........1,790,164 ...........9,453,868 .......................0 .........183,940,301 .....................098. Less Reinsurance Ceded................................................................. ..XXX.. .........19,683,146 ...........1,790,164 ...........2,529,500 .......................... ...........24,002,810 ........................99. Totals (All Business) less Reinsurance Ceded............................... ..XXX.. .......153,013,123 .........................0 ...........6,924,368 .......................0 .........159,937,491 .....................0

DETAILS OF WRITE-INS58001. Other................................................................................................. ..XXX.. ...........4,922,701 ............................ ............................ .......................... .............4,922,701 ........................58002. .......................................................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................58003. .......................................................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................58998. Summary of remaining write-ins for line 58 from overflow page..... ..XXX.. .........................0 .........................0 .........................0 .......................0 ...........................0 .....................058999. Total (Lines 58001 thru 58003 plus 58998) (Line 58 above).......... ..XXX.. ...........4,922,701 .........................0 .........................0 .......................0 .............4,922,701 .....................09401. .......................................................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................9402. .......................................................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................9403. .......................................................................................................... ..XXX.. ............................ ............................ ............................ .......................... ...........................0 ........................9498. Summary of remaining write-ins for line 94 from overflow page..... ..XXX.. .........................0 .........................0 .........................0 .......................0 ...........................0 .....................09499. Total (Lines 9401 thru 9403 plus 9498) (Line 94 above)................ ..XXX.. .........................0 .........................0 .........................0 .......................0 ...........................0 .....................0

(a) Active Status CountL - Licensed or Chartered - Licensed insurance carrier or domiciled RRG...................................... 52 R - Registered - Non-domiciled RRGs............................................ 0E - Eligible - Reporting entities eligible or approved to write surplus lines in the state ................... 0 Q - Qualified - Qualified or accredited reinsurer............................. 0

N - None of the above - Not allowed to write business in the state 5

SCHEDULE Y - INFORMATION CONCERNING ACTIVITIES OF INSURER MEMBERS OF A HOLDING COMPANY GROUP

Names of Parent, Subsidiaries or Affiliates Ownership % Federal ID# NAIC Code State of DomicileAXA Assurance IARD Mutuelle

AXA SA 11.26AXA Assurance Vie Mutuelle

AXA SA 2.88AXA Assistance SA 100.00AXA Inter Partner Assistance - Belgium 100.00AXA France Assurance SAS 98.75

AXA Corporate Solutions Assurance - France 100.00AXA Matrix Risk Consultants SA (France) 100.00

AXA Matrix Risk Consultants Shanghai Co.Ltd 100.00AXA Matrix Risk Consultants India Prt Ltd 100.00AXA Matrix Risk Consultants US Inc. 100.00AXA Matrix Risk Consultants Brazil Ltd. 100.00

AXA Group Solutions - France 100.00AXA Assistance Inc. USA 73.77AXA Investment Managers 100.00AXA Investment Managers - France 100.00

AXA Rosenberg Group LLC 100.00AXA IM Rose Inc 100.00 22-3624513

AXA Mediterranean Holdings, S.A.U 100.00AXA Millésimes 42.34AXA Real Estate Investment Managers 100.00AXA Technology Services 100.00AXA Belgium 100.00AXA Life Insurance Company Ltd. - Hong Kong 100.00AXA General Ins. Hong Kong Ltd.- Hong Kong 100.00AXA General Insurance China Ltd 100.00AXA China - France 51.00

AXA-Mimentals Assurance Company Limited 51.00AXA Societe Beaujon 100.00

AXA Pojistovna a.s. 100.00AXA Zivtni Pojistonva a.s. 100.00AXA Penzijni Fond a.s. 99.98AXA Biztosito Zrt. 100.00AXA Zycie Towarzystwo Ubezieczen S.A. 90.24AXA Powszechne Towarzstwo Emerytalne S.A. 100.00AXA Towarzystwo Ubezpieczen i Reasekuracji S.A. 100.00AXA Life Insurance SA 99.90AXA Business Services Private Limited 99.99

PART 1 – ORGANIZATIONAL CHART


Q12


Names of Parent, Subsidiaries or Affiliates Ownership % Federal ID# NAIC Code State of Domicile


Compagnie Financiere de Paris 100.00AXA France Assurance 100.00

AXA Corporate Solutions Assurance 98.75 AA-1320012AXA Global Life 100.00AXA Global P&C 100.00AXA Liabilities Managers - France 99.90

AXA Liabilities Managers - US 100.00 27-0069788AXA DBIO GP S.à.r.l. 100.00

AXA DBIO S.C.A. 9.74GLOBALE Ruckversicherungs-AG 100.00GLOBAL U.S. Holdings, Inc. 100.00 13-3907460

GLOBAL Reinsurance Corporation of America 100.00 13-5009848 21032 NYGLOBAL Reinsurance Canada Holdings Inc. 100.00

GLOBAL Reinsurance Company 100.00Colisee Re - France 99.90 AA-1320035

AXA DBIO S.C.A. 21.67AXA Konzern AG 100.00

AXA Investment Managers 5.20WinCom Versicherungs-Holding AG 100.00

DBV Deutsche Beamtenversicherung Leben AG 94.90DBV Deutsche Beamtenversicherung AG 100.00DBV Deutsche Lebensversicherung AG 100.00

AXA Versichenung AG 100.00 AA-1340055AXA ART Versicherung AG - Clologne 100.00

AXA Art Holdings Inc. 100.00Fine Art Service International Inc. 100.00AXA Art Americas Corporation 100.00

AXA Szolgaltato Kft. 100.00AXA India Holdings 100.00

Bharti AXA Life Insurance Company 22.22Bharti AXA General Insurance 100.00National Mutual International Pty Limited 100.00

AXA-AFFIN Life Insurance Berhad 49.00AXA Financial Services (Singapore) Pte Ltd. 100.00ipac financial planning Taiwan Limited 100.00AXA Insurance Singapore Pte Ltd 100.00AXA Asia Regional Centre Pte Ltd 100.00


Q12.1




P.T. Asuransi AXA Indonesia 80.00P.T. Life Indonesia 80.00AXA Financial Services (Singapore) Pte Ltd. 100.00AXA Life Europe 100.00AXA Global Distributors (Ireland) Limited 100.00AXA Ireland Limited 100.00AXA mps Financial Ltd. 100.00AXA Italia S.p.A. 98.24

AXA Assicurazioni S.p.A. 98.11AXA Japan Holding Co., Ltd 78.67

AXA Life Insurance Co., 100.00AXA General Insurance Co., Ltd 100.00AXA Collection Services Co. Ltd 100.00Nextia Life Insurance Co., Ltd 97.25

AXA Seguros, S.A. de CV 99.94 AA-2730011Voltaire Participacoes 100.00AXA Luxembourg SA 99.99Finance Solutions S.ar.l. ("Finso") 100.00Matignon Finance S.A. 100.00AXA-AFFIN General Insurance Berhad 42.40Philippine AXA Life Insurance Corporation 45.00AXA Middle East SAL Lebanon 49.00AXA Holding SAL 100.00AXA Gulf Holding W.L.L. 95.00AXA Holding Maroc 100.00

AXA Assurance Maroc 100.00Seguro Directo Gere Compania de Seguros SA 100.00AXA Portugal Companhia de Seguros SA 83.02AXA Portugal Companhia de Seguros Vida SA 87.63AXA Services s.r.o. 100.00EX-SR a.s. v likvdacii 100.00AXA d.s.s., a.s. 100.00AXA d.d.s., a.s. 100.00AXA General Insurance 94.13AXA Mediterraenan Holding, S.A.U 100.00

Hilo Direct, Seguros y Reaseguros S.A. 99.99AXA MEDLA IT & Local Support Services, S.A. 100.00AXA Regional Services, S.A. 100.00AXA Seguros Generales, S.A. de Seguros y Reaseguros 99.89AXA Pensiones, S.A. E.G.F.P. 100.00AXA Tigris, S.A. 100.00AXA Vida, S.A.de Seguros y Reaseguros 99.80


Q12.2




AXA Senegal 51.53AXA Cote d'Ivoire 78.64AXA Cameroun © 99.90AXA Gabon 86.49AXA Versicherungen AG 100.00

AXA Leben AG 100.00Rechtsschutz AG 66.67

AXA Insurance Public Co. Ltd 24.99ASM Holdings Limited 48.80Krungthai-AXA Life Insurance Company Limited 25.00AXA Hayat ve Emeklilik A.S. 100.00AXA Sigorta A.S. 72.55AXA Insurance 50.29AXA Ukraine 50.00AXA Global Risks (Uk) Limited 100.00Hordel FV 100.00AXA Equity & Law Plc 99.90

AXA UK PLC 46.90AXA UK PLC 53.10

Bluefin Group Limited 100.00GBI Holdings Limited 100.00Guardian Royal Exchange PLC 100.00Architas Advisory Services Limited 100.00Architas Multi-Manager Limited 100.00AXA Sun Direct Limited 100.00

Montgomery Tower Member LLC 100.00 82-2532068UCC Chicago Acquisition Partner LLC 100.00 82-1763412Broad Vista Partners, LLC 30.00 81-3019204AXA US Holdings, Inc. 100.00 82-3179759 DE

Maestro Health, Inc 100.00 DEAXA America Corporate Solutions, Inc. 100.00 36-3044045 DE

Coliseum Reinsurance Company 100.00 36-2994662 36552 DEAXA Delaware LLC 100.00 13-4177328 DE

AXA Insurance Company 100.00 13-3594502 33022 NY


Q12.3




AXA Equitable Holdings, Inc 48.30 90-0226248Alpha Units Holdings, Inc. 100.00 83-2796390 DE

29.15 13-4064930AllianceBernstein Corporation 100.00 13-3633538

AXA-IM Holding U.S. INC 100.00 68-0461436 DE15.54 13-4064930

100.00 30-0011728AXA Corporate Solutions Life Reinsurance Company 100.00 04-2729166 68365 DE

CS Life Re Company 100.00 46-5697182 15502 AZ787 Holdings, LLC 100.00 27-02944431285 Holdings, LLC 100.00 46-1106388AllianceBernstein LP 19.92 13-4064930AXA Strategic Ventures US, LLC 100.00 47-2605009AXA Equitable Financial Services, LLC 100.00 52-2197822

AXA Distribution Holding Corporation 100.00 13-4078005AXA Advisors, LLC 100.00 13-4071393AXA Network, LLC 100.00 06-1555494PlanConnect, LLC 100.00 27-1540220

EQ AZ Life Re Company 100.00 82-3971925 16234 AZAXA Equitable Life Insurance Company 100.00 13-5570651 62944 NY

AXA Equitable Funds Management Group, LLC 100.00 27-5373651EVSA, Inc 100.00 23-2671508Broad Vista Partners, LLC 70.00 81-3019204Long Creek Club Partners, LLC 100.00 81-4093983200 East 87th Street Company, LLC 100.00 86-3691523Equitable Holdings, LLC 100.00 22-2766036

Equitable Casualty Insurance Company 100.00 06-1166226 10589 VTAXA Distributors, LLC 100.00 52-2233674JMR Reality services, Inc 100.00 13-3813232Equitable Structured Settlement Corp. 100.00 22-3492811 DE

ACMC, LLC. 100.00 13-2677213AXA Equitable Life and Annuity Company 100.00 13-3198083 62880 COMONY Life Insurance Company of America 100.00 86-0222062 78077 AZ

AllianceBernstein LP 0.95 13-4064930 DEU.S. Financial Life Insurance Company 100.00 38-2046096 84530 OHMONY International Holdings, LLC 100.00 13-3790446

MONY Life Insurance Company of the Americas, Ltd. 100.00 98-0152046MONY Financial Services, Inc 100.00 11-3722370

Financial Marketing Agency, Inc. 100.00 31-14651461740 Advisors, Inc. 100.00 13-2645490

AllianceBernstein LP

AllianceBernstein LPAXA Technology Services America Inc.


Q12.4




XL Group Ltd 0.95 98-1304974 BermudaXLIT Ltd. 100.00 98-0191089 Cayman

EXEL Holdings Limited 100.00 CaymanX.L. Property Holdings Limited 100.00 BermudaXL Bermuda Ltd. 100.00 98-0351953 Bermuda

Mid Ocean Holdings Ltd. 100.00 BermudaXL London Market Group Ltd 100.00 UK

Dornoch Limited 100.00 UKXL London Market Ltd 100.00 UK

ECS Reinsurance Company Inc. 100.00 BarbadosBlitz 17-762 SE 100.00 IrelandBlitz 17-763 SE 100.00 IrelandFundamental Insurance Investments Ltd. 100.00 98-0674455 Bermuda

Citystate Capital Asia Pte. Ltd. 16.10GeoVera Investment Group, Ltd. 9.90XL Underwriting Managers Ltd. 100.00 BermudaNew Ocean Capital Management Limited 57.50 Bermuda

NOCM Services LLC 100.00 DelawareNew Ocean Market Value Cat Fund Ltd.*** 92.00 BermudaNew Ocean Focus Cat Fund Ltd.*** 40.00 Bermuda

Vector Reinsurance Ltd.*** 70.00 BermudaInclusion Resources, Private Ltd. 100.00 Singapore

Mahindra Insurance Brokers Ltd. 20.00 IndiaSalamanca Risk Management Limited 48.60 UKSt. Johns Financial Holding Company, Inc. 9.90 US (Delaware)START SP. Z O.O. 38.30 Poland

XL Re Europe SE 100.00 30-0479679 IrelandXL (Brazil) Holdings Ltda 100.00 BrazilXL Services (Bermuda) Ltd 100.00 BermudaXL Life Ltd 100.00 98-0228561 Bermuda

Reeve Court General Partner Limited 100.00 BermudaReeve Court 4 Limited Partnership 100.00 BermudaReeve Court 6 Limited Partnership 100.00 Bermuda

XL Gracechurch Limited 100.00 UKXL Insurance (UK) Holdings Limited 100.00 UK

XL Insurance Argentina S.A. Compañia de Seguros 90.00 ArgentinaXL Insurance Company SE 100.00 30-0479685 UK

XL Insurance (China) Company Ltd 49.00 ChinaXL Insurance Argentina S.A. Compañia de Seguros 10.00 ArgentinaXL Seguros Brasil S.A. 100.00 Brazil

XL Catlin Services SE 100.00 UK


Q12.5




XL Value Offshore LLC 35.00 98-1339816 BermudaInput Capital Corp. 9.08 Canada

XL Financial Holdings (Ireland) Limited 100.00 IrelandXL Finance (Ireland) Limited 100.00 IrelandXL Services Canada Ltd. 100.00 BN 103814471RC0001 CanadaX.L. America, Inc.* 100.00 06-1516268 US (Delaware)

XL Financial Solutions, Inc.**** 100.00 26-0076011 US (Delaware)XL Innovate Partners, LP ***** 93.39 32-0463280 US (Delaware)XL Innovate Fund, LP 94.80 47-3653857 US (Delaware)

Climassure, Inc. 100.00 81-3915739 US (Delaware)New Energy Risk, Inc. 85.00 27-3169978 US (Delaware)Complex Risk and Insurance Associates, LLC 100.00 47-1070591 US (Delaware)Slice Labs, Inc. 10.68 CanadaLemonade, Inc. 5.48 US (Delaware)Embroker, Inc. 1.58 US (Delaware)Loop Labs, Inc. 15.13 US (Delaware)Cape Analytics, Inc. 13.46 US (Delaware)Stonestep AG 25.00 Zug SwitzerlandGeoQuant, Inc. 10.53 US (Delaware)Pillar Technologies, Inc. 21.62 US (Delaware)Zendrive, Inc. 10.29Windward Ltd. 8.22Friday Harbor, LLC 48.00

Centauri Specialty Insurance Holdings, Inc. 42.20Ventus Risk Management, Inc. 6.30 US (Delaware)International Reinsurance Managers, LLC 25.00 US (Florida)GPC-INS Partners, LP ****** 99.90 US (Delaware)

Catlin, LLC 100.00 72-1458300 US (Delaware)Catlin Insurance Services, Inc. 100.00 72-1312068 US (Louisiana)Catlin Specialty Insurance Company 100.00 71-6053839 15989 US (Delaware)

Catlin Indemnity Company 100.00 52-0249520 24503 US (Delaware)Catlin Insurance Company, Inc. 100.00 20-4929941 19518 US (Texas)

Catlin Underwriting Inc. 100.00 94-3094358 US (Delaware)XLA Garrison L.P. 100.00 43-1956637 US (Delaware)

Highfield Associates LLC 20.00 Ada Fund GP, LLC 15.00 US (Delaware)


Q12.6




XL Reinsurance America Inc. 100.00 13-1290712 20583 US (New York)XL Insurance (China) Company Ltd 51.00 ChinaXL Value Onshore LLC 100.00 06-1609624 US (Delaware)

Catlin CCC Holdings LLC 100.00 47-2299432 US (Delaware)SMTC Guarantor LLC 100.00 US (Delaware)

SMTC Acquisition LLC******** 92.67 US (Delaware)Greenwich Insurance Company 100.00 95-1479095 22322 US (Delaware)

Global Asset Protection Services, LLC 100.00 01-0575742 US (Connecticut)Global Asset Protection Services Company Limited 100.00 JapanBoiler & Property Consulting, LLC 25.00 US (Delaware)Global Asset Protection Services Consultancy (Beijing) Compa 100.00 China

XL Insurance America, Inc. 100.00 75-6017952 24554 US (Delaware)XL Select Insurance Company 100.00 75-1221488 19607 US (Delaware)XL Insurance Company of New York, Inc. 100.00 13-3787296 40193 US (New York)

XL Group Investments LLC 100.00 22-3834549 US (Delaware)XL Group Investments Ltd 100.00 98-0685604 Bermuda

XL Specialty Insurance Company 100.00 85-0277191 37885 US (Delaware)Indian Harbor Insurance Company 100.00 06-1346380 36940 US (Delaware)

CS&B Parent Holdings, LLC 11.29 US (Delaware)Global Ag Insurance Services, LLC 100.00 45-2729407 US (California)Allied International Holdings, Inc. 100.00 59-2492808 US (Florida)

Short Term Special Events, Inc. 100.00 59-3107831 US (Florida)T.H.E. Insurance Company 100.00 04-2451053 12866 US (Louisiana)Allied Specialty Insurance, Inc. 100.00 59-2301981 US (Florida)Allied Specialty Insurance Agency of Canada Ltd. 100.00 Canada

XL Global, Inc. 100.00 06-1609624 US (Delaware)XL Innovate, LLC 100.00 47-3521363 US (Delaware)Oak Circle Capital Partners LLC 34.58 US (Delaware)HighVista Strategies LLC ******* 100.00 US (Delaware)Highfields Capital Management LP 20.00 US (Delaware)Vidrio Financial Ltd 36.10 Bermuda

X.L. Global Services, Inc. 100.00 06-1527321 US (Delaware)Eagleview Insurance Brokerage Services, LLC 100.00 20-1208461 US (Delaware)

XL Life and Annuity Holding Company 100.00 22-3844763 US (Delaware)XL Investments Ltd 100.00 98-0424162 Bermuda

XL Capital Products Ltd 100.00 BermudaAngel Risk Management Limited 100.00 UK

XL Insurance Guernsey Limited 100.00 GuernseyGarrison Investments Inc.** 100.00 98-0405202 BarbadosGreenoaks Global Holdings Ltd. 6.66 England/Wales


Q12.7




XL (WESTERN EUROPE) S.a.r.l. 100.00 LuxembourgXL Swiss Holdings Ltd 100.00 Switzerland

XL Re Latin America Argentina SA 20.00 ArgentinaXL Insurance Switzerland Ltd 100.00 30-0479676 SwitzerlandXL Services Switzerland Ltd 100.00 SwitzerlandXL India Business Services Private Limited 100.00 IndiaXL Seguros Mexico SA de CV 100.00 XIM040220119 Mexico

Green Holdings Limited 100.00 98-1218274 BermudaCatlin Managers Ltd. 100.00 Bermuda

New Ocean Opportunities Fund Ltd. 100.00 BermudaHubble Re Ltd. 100.00 Bermuda

Catlin Insurance Company Ltd. 100.00 98-0407572 BermudaXL Catlin Middle East 100.00 DubaiCatlin Treasury Guernsey Limited 100.00 GuernseyCatlin Labuan Limited 100.00 MalaysiaCatlin Singapore Pte Ltd. 100.00 SingaporeCatlin Finance (UK) Ltd. 100.00 UKCatlin USD Holdings Ltd. 100.00 98-109-3811 BermudaCatlin Insurance Company (UK) Holdings Ltd. 100.00 UK

Blue Marble Micro Limited 11.10 UKXL Catlin Insurance Company UK Limited 100.00 98-0455349 UK

Catlin Treasury Luxembourg S.a r.l. 100.00 LuxembourgCatlin Insurance Company (UK) Ltd - Escritorio de Representacao no 100.00 Brazil

Catlin US Investment Holdings LLC 45.00 46-3791467 US (Delaware)Hampden & Co plc 15.60 ScotlandCatlin Luxembourg S.a r.l. 100.00 Luxembourg

Catlin Re Switzerland Ltd/Catlin Re Schweiz AG 100.00 98-0683316 SwitzerlandSeaview Re Holdings Inc. 100.00 83-3007374 Bermuda

Seaview Re Ltd 100.00 98-1464607 BermudaXL Latin America Investments Ltd 100.00 BermudaXL Resseguros Brasil S.A. 100.00 BrazilXL Re Latin America Argentina SA 80.00 ArgentinaCatlin Re Switzerland Ltd Escritório de Representação no Brasil Ltda 100.00 BrazilWestaim HIIG Limited Partnership, Ontario (Canada) 13.11 Canada

Catlin US Investment Holdings LLC 40.00 46-3791467 US (Delaware)Worley Claims Services. LLC 13.68 UKXL Value Offshore LLC 25.00 98-1339816 Bermuda

Input Capital Corp. 9.08 CanadaCatlin (WUPLC) Holdings Limited 100.00 Bermuda

Catlin Underwriting 99.90 UKCatlin (CHUKL) Holdings Limited 100.00 Bermuda

Catlin Underwriting 0.10 UK


Q12.8




Catlin (North American) Holdings Ltd. 100.00 UKCatlin Investment Holdings (Jersey) Limited 100.00 Jersey

Catlin Investment (UK) Limited 100.00 UKCatlin (PUL) Limited 100.00 UKCatlin (One) Limited 100.00 UKCatlin Underwriting (UK) Limited DORMANT 100.00 UK

Catlin Risk Solutions Limited 100.00 UKCatlin Underwriting Services Limited 100.00 UKCatlin (Wellington) Underwriting Agencies Limited 100.00 UK

Catlin Syndicate Limited 100.00 UKCatlin Holdings (UK) Limited 100.00 UK

Catlin Holdings Limited 100.00 UKCatlin Canada Inc. 100.00 CanadaXL Catlin Japan KK 100.00 JapanCatlin Underwriting Agencies Limited 100.00 98-0242114 UK

Catlin US Investment Holdings LLC 15.00 46-3791467 US (Delaware)Worley Claims Services, LLC 13.68 US (Louisiana)

Z Capital N-2L, L.L.C. 100.00 US (Delaware)Russian Reinsurance Company OJSC 22.50 RussiaZ Capital CUAL CO INVEST., L.L.C. 100.00 US (Delaware)Z Capital HG-C, L.L.C. 100.00 US (Delaware)CUA-CVIII Holdings LLC 100.00 90-1032236 US (Delaware)

C-1001 State Co-Investor, LLC 100.00 US (Delaware)1001 South State Street Holdings Ve 28.42 US (Delaware)

C-140W Co-Investor LLC 100.00 US (Delaware)140 W. Street (NY) Holdings, LLC 6.38 US (Delaware)

XL Value Offshore LLC 40.00 98-1339816 BermudaCatlin Guernsey Limited 100.00 GuernseyCatlin Australia Pty Limited 100.00 AustraliaCatlin (BB) Limited 100.00 UKCatlin Hong Kong Limited 100.00 Hong KongCatlin Angel Strategic Holdings Limited 100.00 UKCatlin Syndicate 6112 Limited (UK) 100.00 UKCatlin Syndicate 6121 Limited 100.00 UK

(***) - Preferred Share Ownership

(*******) - XL Global, Inc. owns a minority share in HighVista Strategies LLC. (******) - XL Financial Solutions, Inc. is the Sole Limited Partner of GPC-INS Partners, LP

(********) -SMTC Guarantor LLC owns 92.67% of SMTC Aquisiton LLC (the remaining 7.33% is NOT owned by XL Catlin)

(*) - General Parter of XLA Garrison L.P.(**) - Limited Partner of XLA Garrison L.P.

(****) - General Partner of XL Innovate Partners, LP and Limited Partner of XL Innovate Fund, LP(*****) - General Partner of XL Innovate Fund, LP


Q12.9


Q13

SCHEDULE YPART 1A - DETAIL OF INSURANCE HOLDING COMPANY SYSTEM

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of

Securities ControlExchange (Ownership Is anif Publicly Board, If Control is SCA

NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *Members

0968 AXA........................................ 00000... 00-0000000.. ......898427 ......898427Paris StockExchange AXA SA.............................................................. FRA........... UIP............... AXA Assurance IARD Mutuelle....................... OWNERSHIP.... ......11.260 ......................................................................... ......N....... .............

0968 ............................................... 00000... ..................... ................... ................... ......................... AXA SA.............................................................. FRA........... UIP............... AXA Assurance Vie Mutuelle........................... OWNERSHIP.... ........2.880 ......................................................................... ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Assistance SA............................................ FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Inter Partner Assistance - Belgium............. BEL........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA France Assurance SAS.............................. FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Corporate Solutions Assurance - France... FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ......98.750 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Matrix Risk Consultants SA (France)......... FRA........... NIA............... AXA Corporate Solutions Assurance - Fr......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Matrix Risk Consultants Shanghai Co.Ltd.. CHN.......... NIA............... AXA Matrix Risk Consultants SA (France)....... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Matrix Risk Consultants India Prt Ltd......... IND............ NIA............... AXA Matrix Risk Consultants SA (France)....... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Matrix Risk Consultants US Inc.................. USA.......... NIA............... AXA Matrix Risk Consultants SA (France)....... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Matrix Risk Consultants Brazil Ltd............. BRA.......... NIA............... AXA Matrix Risk Consultants SA (France)....... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Group Solutions - France........................... FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Assistance Inc. USA................................... USA.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Investment Managers................................. FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ......73.770 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Investment Managers - France.................. FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Investment Managers Holdings US............ USA.......... NIA............... AXA Investment Managers - France................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Rosenberg Group LLC............................... USA.......... NIA............... AXA Investment Managers............................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 22-3624513.. ....1459848 ....1459848 ......................... AXA IM Rose Inc................................................ USA.......... NIA............... AXA Investment Managers............................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Mediterranean Holdings, S.A.U.................. ESP........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Millésimes.................................................. PRT........... NIA............... AXA.................................................................. OWNERSHIP.... ......42.340 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Real Estate Investment Managers............. FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Technology Services.................................. FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Belgium...................................................... BEL........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Life Insurance Company Ltd. - Hong Kong CHN.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA General Ins. Hong Kong Ltd.- Hong Kong. CHN.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA General Insurance China Ltd..................... CHN.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA China - France........................................... FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ......51.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA-Mimentals Assurance Company Limited.... CHN.......... IA.................. AXA China - France......................................... OWNERSHIP.... ......51.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Societe Beaujon......................................... FRA........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Pojistovna a.s............................................. CZE........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Zivtni Pojistonva a.s................................... CZE........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Penzijni Fond a.s........................................ CZE........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ......99.980 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Biztosito Zrt................................................ HUN.......... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Zycie Towarzystwo Ubezieczen S.A.......... POL........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ......90.240 AXA SA............................................................ ......N....... .............


Q13.1


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *

0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Powszechne Towarzstwo Emerytalne S.A. POL........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................AXA Towarzystwo Ubezpieczen i ReasekuracjiS.A. POL........... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Life Insurance SA....................................... ROU.......... IA.................. AXA Societe Beaujon....................................... OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Business Services Private Limited............. IND............ NIA............... AXA Societe Beaujon....................................... OWNERSHIP.... ......99.990 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Compagnie Financiere de Paris......................... FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA France Assurance...................................... FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... AA-1320012. ................... ................... ......................... AXA Corporate Solutions Assurance................. FRA........... IA.................. AXA France Assurance.................................... OWNERSHIP.... ......98.750 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Global Life.................................................. FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Global P&C................................................ FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Liabilities Managers- France...................... FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 27-0069788.. ................... ................... ......................... AXA Liabilities Managers-US............................. USA.......... IA.................. AXA Liabilities Managers- France.................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA DBIO GP S.à.r.l.......................................... LUX........... IA.................. AXA Liabilities Managers- France.................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA DBIO S.C.A................................................ LUX........... IA.................. AXA DBIO GP S.à.r.l........................................ OWNERSHIP.... ........9.740 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... GLOBALE Ruckversicherungs-AG..................... CHE.......... IA.................. AXA DBIO S.C.A.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-3907460.. ................... ................... ......................... GLOBAL U.S. Holdings, Inc............................... USA.......... NIA............... AXA DBIO S.C.A.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 21032... 13-5009848.. ................... ................... ......................... GLOBAL Reinsurance Corporation of America.. USA.......... IA.................. GLOBAL U.S. Holdings, Inc............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... GLOBAL Reinsurance Canada Holdings Inc..... CAN.......... NIA............... AXA DBIO S.C.A.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... GLOBAL Reinsurance Company....................... CAN.......... IA.................. GLOBAL Reinsurance Canada Holdings Inc... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... AA-1320035. ................... ................... ......................... Colisee Re - France........................................... FRA........... IA.................. AXA.................................................................. OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA DBIO S.C.A................................................ LUX........... NIA............... Colisee Re - France......................................... OWNERSHIP.... ......21.670 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Konzern AG................................................ DEU.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Investment Managers................................. FRA........... NIA............... AXA Konzern AG.............................................. OWNERSHIP.... ........5.200 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... WinCom Versicherungs-Holding AG.................. DEU.......... NIA............... AXA Konzern AG.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... DBV Deutsche Beamtenversicherung Leben AG DEU.......... IA.................. WinCom Versicherungs-Holding AG................ OWNERSHIP.... ......94.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... DBV Deutsche Beamtenversicherung AG.......... DEU.......... IA.................. WinCom Versicherungs-Holding AG................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... DBV Deutsche Lebensversicherung AG............ DEU.......... IA.................. WinCom Versicherungs-Holding AG................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... AA-1340055. ................... ................... ......................... AXA Versicherung AG........................................ DEU.......... IA.................. AXA Konzern AG.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA ART Versicherung AG - Clologne.............. DEU.......... IA.................. AXA Konzern AG.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Art Holdings Inc.......................................... USA.......... NIA............... AXA ART Versicherung AG - Clologne............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Fine Art Service International Inc....................... USA.......... NIA............... AXA Art Holdings Inc........................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Art Americas Corporation........................... USA.......... NIA............... AXA Art Holdings Inc........................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Szolgaltato Kft............................................ HUN.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA India Holdings............................................ IND............ NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.2


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... ..................... ................... ................... ......................... Bharti AXA Life Insurance Company.................. IND............ IA.................. AXA India Holdings.......................................... OWNERSHIP.... ......22.220 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Bharti AXA General Insurance........................... IND............ IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... National Mutual International Pty Limited........... AUS.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA-AFFIN Life Insurance Berhad................... MYS.......... IA.................. National Mutual International Pty Limited......... OWNERSHIP.... ......49.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Financial Services (Singapore) Pte Ltd...... SGP.......... NIA............... National Mutual International Pty Limited......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... ipac financial planning Taiwan Limited............... TWN.......... NIA............... National Mutual International Pty Limited......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Insurance Singapore Pte Ltd...................... SGP.......... IA.................. National Mutual International Pty Limited......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Asia Regional Centre Pte Ltd..................... SGP.......... IA.................. National Mutual International Pty Limited......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... P.T. Asuransi AXA Indonesia............................. IDN............ IA.................. AXA.................................................................. OWNERSHIP.... ......80.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... P.T. Life Indonesia............................................. IDN............ IA.................. AXA.................................................................. OWNERSHIP.... ......80.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Financial Services (Singapore) Pte Ltd...... SGP.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Life Europe................................................. IRL............ IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Global Distributors (Ireland) Limited........... IRL............ NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Ireland Limited............................................ IRL............ IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA mps Financial Ltd....................................... IRL............ IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Italia S.p.A.................................................. ITA............ NIA............... AXA.................................................................. OWNERSHIP.... ......98.240 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Assicurazioni S.p.A.................................... ITA............ IA.................. AXA Italia S.p.A................................................ OWNERSHIP.... ......98.110 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Japan Holding Co., Ltd............................... JPN........... NIA............... AXA.................................................................. OWNERSHIP.... ......78.670 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Life Insurance Co.,..................................... JPN........... IA.................. AXA Japan Holding Co., Ltd............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA General Insurance Co., Ltd........................ JPN........... IA.................. AXA Japan Holding Co., Ltd............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Collection Services Co. Ltd........................ JPN........... IA.................. AXA Japan Holding Co., Ltd............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Nextia Life Insurance Co., Ltd............................ JPN........... IA.................. AXA Japan Holding Co., Ltd............................. OWNERSHIP.... ......97.250 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... AA-2730011. ................... ................... ......................... AXA Seguros, S.A. de CV.................................. MEX.......... IA.................. AXA.................................................................. OWNERSHIP.... ......99.940 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Voltaire Participacoes......................................... BRA.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Luxembourg SA......................................... LUX........... IA.................. AXA.................................................................. OWNERSHIP.... ......99.990 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Finance Solutions S.ar.l. ("Finso")...................... LUX........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Matignon Finance S.A........................................ LUX........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA-AFFIN General Insurance Berhad............. MYS.......... IA.................. AXA.................................................................. OWNERSHIP.... ......42.400 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Philippine AXA Life Insurance Corporation........ MYS.......... IA.................. AXA.................................................................. OWNERSHIP.... ......45.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Middle East SAL Lebanon.......................... LBN........... NIA............... AXA.................................................................. OWNERSHIP.... ......49.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Holding SAL............................................... LBN........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Gulf Holding W.L.L..................................... BHR.......... NIA............... AXA.................................................................. OWNERSHIP.... ......95.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Holding Maroc............................................ MAR.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Assurance Maroc....................................... MAR.......... IA.................. AXA Holding Maroc.......................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Seguro Directo Gere Compania de Seguros SA PRT........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Portugal Companhia de Seguros SA......... PRT........... IA.................. AXA.................................................................. OWNERSHIP.... ......83.020 AXA SA............................................................ ......N....... .............


Q13.3


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Portugal Companhia de Seguros Vida SA PRT........... IA.................. AXA.................................................................. OWNERSHIP.... ......87.630 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Services s.r.o............................................. SVK........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... EX-SR a.s. v likvdacii......................................... SVK........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA d.s.s., a.s.................................................... SVK........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA d.d.s., a.s.................................................... SVK........... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA General Insurance...................................... KOR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......94.130 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Mediterraenan Holding, S.A.U................... ESP........... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Hilo Direct, Seguros y Reaseguros S.A............. ESP........... IA.................. AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ......99.990 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... AXA MEDLA IT & Local Support Services, S.A. ESP........... NIA............... AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Regional Services, S.A.............................. ESP........... NIA............... AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................AXA Seguros Generales, S.A. de Seguros yReaseguros ESP........... IA.................. AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ......99.890 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Pensiones, S.A. E.G.F.P............................ ESP........... IA.................. AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Tigris, S.A................................................... ESP........... IA.................. AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Vida, S.A.de Seguros y Reaseguros.......... ESP........... IA.................. AXA Mediterraenan Holding, S.A.U................. OWNERSHIP.... ......99.800 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Senegal...................................................... SEN.......... IA.................. AXA.................................................................. OWNERSHIP.... ......51.530 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Cote d'Ivoire............................................... CIV............ IA.................. AXA.................................................................. OWNERSHIP.... ......78.640 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Cameroun ©............................................... CMR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Gabon........................................................ GAB.......... IA.................. AXA.................................................................. OWNERSHIP.... ......86.490 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Versicherungen AG.................................... CHE.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Leben AG................................................... CHE.......... IA.................. AXA Versicherungen AG.................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Rechtsschutz AG................................................ CHE.......... IA.................. AXA Versicherungen AG.................................. OWNERSHIP.... ......66.670 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Insurance Public Co. Ltd............................ THA........... IA.................. AXA.................................................................. OWNERSHIP.... ......24.990 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... ASM Holdings Limited........................................ THA........... NIA............... AXA.................................................................. OWNERSHIP.... ......48.800 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... Krungthai-AXA Life Insurance Company Limited THA........... IA.................. AXA.................................................................. OWNERSHIP.... ......25.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Hayat ve Emeklilik A.S............................... TUR.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Sigorta A.S................................................. TUR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......72.550 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Insurance................................................... UKR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......50.290 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Ukraine....................................................... UKR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......50.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Global Risks (Uk) Limited........................... GBR.......... IA.................. AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Hordel FV........................................................... GBR.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Equity & Law Plc........................................ GBR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA UK PLC...................................................... GBR.......... IA.................. AXA Equity & Law Plc...................................... OWNERSHIP.... ......46.900 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA UK PLC...................................................... GBR.......... IA.................. AXA.................................................................. OWNERSHIP.... ......53.100 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Bluefin Group Limited......................................... GBR.......... IA.................. AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.4


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... ..................... ................... ................... ......................... GBI Holdings Limited.......................................... GBR.......... IA.................. AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Guardian Royal Exchange PLC......................... GBR.......... NIA............... AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Architas Advisory Services Limited.................... GBR.......... NIA............... AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Architas Multi-Manager Limited.......................... GBR.......... NIA............... AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... AXA Sun Direct Limited...................................... GBR.......... IA.................. AXA UK PLC.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 81-3019204.. ................... ................... ......................... Broad Vista Partners, LLC.................................. USA.......... IA.................. AXA.................................................................. OWNERSHIP.... ......30.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 82-2532068.. ................... ................... ......................... Montgomery Tower Member LLC....................... USA.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 82-1763412.. ................... ................... ......................... UCC Chicago Acquisition Partner LLC............... USA.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 82-3179759.. ................... ................... ......................... AXA US Holdings, Inc........................................ USA.......... NIA............... AXA.................................................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 36-3044045.. ................... ....1456276 ......................... AXA America Corporate Solutions, Inc.............. USA.......... NIA............... AXA US Holdings, Inc...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Maestro Heath Inc.............................................. USA.......... NIA............... AXA US Holdings, Inc...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 36552... 36-2994662.. ................... ....1456280 ......................... Coliseum Reinsurance Company....................... USA.......... IA.................. AXA America Corporate Solutions, Inc............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4177328.. ................... ................... ......................... AXA Delaware LLC............................................ USA.......... NIA............... Coliseum Reinsurance Company..................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 33022... 13-3594502.. ................... ................... ......................... AXA Insurance Company................................... USA.......... IA.................. AXA Delaware LLC.......................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 90-0226248.. ................... ....1333986New York StockExchange AXA Equitable Holdings, Inc.............................. USA.......... UIP............... AXA.................................................................. OWNERSHIP.... ......48.300 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 83-2796390.. ................... ................... ......................... Alpha Units Holdings, Inc................................... USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4064930.. ................... ....1109448 ......................... AllianceBernstein LP.......................................... USA.......... NIA............... Alpha Units Holdings, Inc................................. OWNERSHIP.... ......29.150 AXA SA............................................................ ......Y....... .............0000 ............................................... 00000... 13-3633538.. ................... ................... ......................... AllianceBernstein Corporation............................ USA.......... NIA............... Alpha Units Holdings, Inc................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 68-0461436.. ................... ................... ......................... AXA-IM Holding U.S. Inc.................................... USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4064930.. ................... ....1109448 ......................... AllianceBernstein LP.......................................... USA.......... NIA............... AXA-IM Holding U.S. Inc.................................. OWNERSHIP.... ......15.540 AXA SA............................................................ ......Y....... .............0000 ............................................... 00000... 30-0011728.. ................... ................... ......................... AXA Technology Services America Inc.............. USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0968 ............................................... 68365... 04-2729166.. ................... ................... .........................AXA Corporate Solutions Life ReinsuranceCompany USA.......... IA.................. AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0968 ............................................... 15502... 46-5697182.. ................... ................... ......................... CS Life Re Company.......................................... USA.......... IA..................AXA Corporate Solutions Life ReinsuranceCompany OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 27-0294443.. ................... ................... ......................... 787 Holdings, LLC.............................................. USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 46-1106388.. ................... ................... ......................... 1285 Holdings, LLC............................................ USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4064930.. ................... ....1109448 ......................... AllianceBernstein LP.......................................... USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ......19.920 AXA SA............................................................ ......Y....... .............0000 ............................................... 00000... 47-2605009.. ................... ................... ......................... AXA Strategic Ventures US, LLC....................... USA.......... NIA............... AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 52-2197822.. ................... ....1257148 ......................... AXA Equitable Financial Services, LLC............. USA.......... UDP.............. AXA Equitable Holdings, Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4078005.. ................... ................... ......................... AXA Distribution Holding Corporation................ USA.......... NIA............... AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4071393.. ................... ........33179 ......................... AXA Advisors, LLC............................................. USA.......... NIA............... AXA Distribution Holding Corporation.............. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 06-1555494.. ................... ....1292309 ......................... AXA Network, LLC............................................. USA.......... NIA............... AXA Distribution Holding Corporation.............. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 27-1540220.. ................... ................... ......................... PlanConnect, LLC.............................................. USA.......... NIA............... AXA Distribution Holding Corporation.............. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.5


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0968 ............................................... 14355... 14-1903564.. ................... ....1450152 ......................... AXA RE Arizona Company................................. USA.......... IA.................. AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 16234... 82-3971925.. ................... ................... ......................... EQ AZ Life Re.................................................... USA.......... IA.................. AXA RE Arizona Company............................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 62944... 13-5570651.. ................... ......727920 ......................... AXA Equitable Life Insurance Company............ USA.......... RE................ AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 27-5373651.. ................... ................... ......................... AXA Equitable Funds Management Group, LLC USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 23-2671508.. ................... ................... ......................... EVSA, Inc........................................................... USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 81-3019204.. ................... ................... ......................... Broad Vista Partners, LLC.................................. USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ......70.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 81-4093983.. ................... ................... ......................... Long Creek Club Partners, LLC......................... USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 86-3691523.. ................... ................... ......................... 200 East 87th Street Company, LLC.................. USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 ......................................................................... ......N....... .............0000 ............................................... 00000... 22-2766036.. ................... ....1257149 ......................... Equitable Holdings, LLC..................................... USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 10589... 06-1166226.. ................... ................... ......................... Equitable Casualty Insurance Company............ USA.......... DS................ Equitable Holdings, LLC................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 52-2233674.. ................... ......858875 ......................... AXA Distributors, LLC........................................ USA.......... DS................ Equitable Holdings, LLC................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-3813232.. ................... ................... ......................... JMR Reality services, Inc................................... USA.......... DS................ Equitable Holdings, LLC................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 22-3492811.. ................... ................... ......................... Equitable Structured Settlement Corp................ USA.......... DS................ Equitable Holdings, LLC................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-2677213.. ................... ..........3798 ......................... ACMC, LLC........................................................ USA.......... DS................ AXA Equitable Life Insurance Company.......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 62880... 13-3198083.. ................... ....1342913 ......................... AXA Equitable Life and Annuity Company......... USA.......... IA.................. AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0968 ............................................... 78077... 86-0222062.. ................... ......835357 ......................... MONY Life Insurance Company of America...... USA.......... IA.................. AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-4064930.. ................... ....1109448 ......................... AllianceBernstein LP.......................................... USA.......... NIA............... MONY Life Insurance Company of America.... OWNERSHIP.... ........0.950 AXA SA............................................................ ......Y....... .............0968 ............................................... 84530... 38-2046096.. ................... ................... ......................... U.S. Financial Life Insurance Company............. USA.......... IA.................. AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-3790446.. ................... ................... ......................... MONY International Holdings, LLC.................... USA.......... NIA............... AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 98-0152046.. ................... ................... .........................MONY Life Insurance Company of theAmericas, Ltd. USA.......... IA.................. MONY International Holdings, LLC.................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 11-3722370.. ................... ................... ......................... MONY Financial Services, Inc............................ USA.......... NIA............... AXA Equitable Financial Services, LLC........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 31-1465146.. ................... ................... ......................... Financial Marketing Agency, Inc........................ USA.......... NIA............... MONY Financial Services, Inc.......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 13-2645490.. ................... ................... ......................... 1740 Advisors, Inc.............................................. USA.......... NIA............... MONY Financial Services, Inc.......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-1304974.. ................... ................... ......................... XL Group Ltd...................................................... BMU.......... UIP............... AXA SA............................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0191089.. ................... ................... ......................... XLIT Ltd.............................................................. CYM.......... UIP............... XL Group Ltd.................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... EXEL Holdings Limited....................................... CYM.......... UIP............... XLIT Ltd............................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... X.L. Property Holdings Limited........................... BMU.......... NIA............... EXEL Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0351953.. ................... ................... ......................... XL Bermuda Ltd................................................. BMU.......... UIP............... EXEL Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Mid Ocean Holdings Limited.............................. BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL London Market Group Ltd............................. GBR.......... NIA............... Mid Ocean Holdings Limited............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Dornoch Limited................................................. GBR.......... NIA............... XL London Market Group Ltd........................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL London Market Ltd- Syndicate 1209............. GBR.......... IA.................. XL London Market Group Ltd........................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... ECS Reinsurance Company Inc......................... BRB.......... IA.................. XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Blitz 17-762 SE................................................... IRL............ NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Blitz 17-763 SE................................................... IRL............ NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.6


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... 98-0674455.. ................... ................... ......................... Fundamental Insurance Investments Ltd........... BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Citystate Capital Asia Pte. Ltd............................ SGP.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ......16.100 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Underwriting Managers Ltd........................... BMU.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... New Ocean Capital Management Limited.......... BMU.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ......57.500 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... NOCM Services LLC.......................................... DE............. NIA............... New Ocean Capital Management Limited........ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... New Ocean Market Value Cat Fund Ltd............. BMU.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ......92.000 AXA SA............................................................ ......N....... 3...........0000 ............................................... 00000... ..................... ................... ................... ......................... New Ocean Focus Cat Fund Ltd........................ BMU.......... NIA............... Fundamental Insurance Investments Ltd......... MANAGEMENT. ......40.000 AXA SA............................................................ ......N....... 1...........0000 ............................................... 00000... ..................... ................... ................... ......................... Vector Reinsurance Ltd...................................... BMU.......... IA.................. New Ocean Focus Cat Fund Ltd...................... INFLUENCE...... ......70.000 AXA SA............................................................ ......N....... 2...........0000 ............................................... 00000... ..................... ................... ................... ......................... Inclusion Resources, Private Ltd........................ SGP.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Mahindra Insurance brokers Ltd......................... IND............ NIA............... Inclusion Resources, Private Ltd...................... OWNERSHIP.... ......20.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Salamanca Risk Management Limited............... GBR.......... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ......48.600 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... START SP. Z O.O.............................................. POL........... NIA............... Fundamental Insurance Investments Ltd......... OWNERSHIP.... ......38.300 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 30-0479679.. ................... ................... ......................... XL Re Europe SE............................................... IRL............ IA.................. XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL (Brazil) Holdings Ltda.................................... BRA.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Services (Bermuda) Ltd................................ BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0228561.. ................... ................... ......................... XL Life Ltd.......................................................... BMU.......... IA.................. XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Reeve Court General Partner Limited................ BMU.......... NIA............... XL Life Ltd........................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Reeve Court 4 Limited Partnership.................... BMU.......... NIA............... Reeve Court General Partner Limited.............. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Reeve Court 6 Limited Partnership.................... BMU.......... NIA............... Reeve Court General Partner Limited.............. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Gracechurch Limited..................................... GBR.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Insurance (UK) Holdings Limited.................. GBR.......... NIA............... XL Gracechurch Limited................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................XL Insurance Argentina S.A. Compania deSeguros ARG.......... IA.................. XL Insurance (UK) Holdings Limited................ OWNERSHIP.... ......90.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 30-0479685.. ................... ................... ......................... XL Insurance Company SE................................ GBR.......... IA.................. XL Insurance (UK) Holdings Limited................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Insurance (China) Company Ltd................... CHN.......... IA.................. XL Insurance Company SE.............................. OWNERSHIP.... ......49.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................XL Insurance Argentina S.A. Compañia deSeguros ARG.......... IA.................. XL Insurance Company SE.............................. OWNERSHIP.... ......10.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... XL Seguros Brasil S.A........................................ BRA.......... IA.................. XL Insurance Company SE.............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Catlin Services SE........................................ GBR.......... NIA............... XL Insurance (UK) Holdings Limited................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-1339816.. ................... ................... ......................... XL Value Offshore LLC...................................... BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ......35.000 AXA SA............................................................ ......N....... 8...........0000 ............................................... 00000... ..................... ................... ................... ......................... XL Financial Holdings (Ireland) Limited.............. IRL............ UIP............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Finance (Ireland) Limited.............................. IRL............ NIA............... XL Financial Holdings (Ireland) Limited............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Services Canada Ltd..................................... CAN.......... NIA............... XL Financial Holdings (Ireland) Limited............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 06-1516268.. ................... ................... ......................... X.L. America, Inc................................................ DE............. UDP.............. XL Financial Holdings (Ireland) Limited............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... 5...........0000 ............................................... 00000... 26-0076011.. ................... ................... ......................... XL Financial Solutions, Inc................................. DE............. NIA............... X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... 10.........0000 ............................................... 00000... 32-0463280.. ................... ................... ......................... XL Innovate Partners, LP................................... DE............. NIA............... XL Financial Solutions Inc................................ OWNERSHIP.... ......93.390 AXA SA............................................................ ......N....... 11.........


Q13.7


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... 47-3653857.. ................... ................... ......................... XL Innovate Fund, LP......................................... DE............. NIA............... XL Financial Solutions Inc................................ OWNERSHIP.... ......94.800 AXA SA............................................................ ......N....... 4...........0000 ............................................... 00000... 81-3915739.. ................... ................... ......................... Climassure, Inc................................................... DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 27-3169978.. ................... ................... ......................... New Energy Risk, Inc......................................... DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......85.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 47-1070591.. ................... ................... ......................... Complex Risk and Insurance Associates, LLC.. DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Slice Labs, Inc.................................................... CAN.......... NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......11.350 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Loop Labs, Inc.................................................... DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......15.130 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Cape Analytics, Inc............................................. DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......13.460 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Stonestep AG..................................................... CHE.......... NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......25.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... GeoQuant, Inc.................................................... DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......10.530 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Pillar Technologies, Inc...................................... DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......21.620 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Zendrive, Inc....................................................... FL.............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......10.290 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Friday Harbor, LLC............................................. DE............. NIA............... XL Innovate Fund, LP....................................... OWNERSHIP.... ......48.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Centauri Specialty Insurance Holdings, Inc........ DE............. NIA............... XL Financial Solutions Inc................................ OWNERSHIP.... ......42.200 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... International Reinsurance Managers, LLC......... FL.............. NIA............... XL Financial Solutions Inc................................ OWNERSHIP.... ......25.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... GPC-INS Partners, LP....................................... DE............. NIA............... XL Financial Solutions Inc................................ OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... 12.........0000 ............................................... 00000... 72-1458300.. ................... ................... ......................... Catlin, LLC.......................................................... DE............. NIA............... X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 72-1312068.. ................... ................... ......................... Catlin Insurance Services, Inc............................ LA............. NIA............... Catlin, LLC........................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 15989... 71-6053839.. ................... ................... ......................... Catlin Specialty Insurance Company................. DE............. IA.................. Catlin, LLC........................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 24503... 52-0249520.. ................... ................... ......................... Catlin Indemnity Company................................. DE............. IA.................. Catlin Specialty Insurance Company............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 19518... 20-4929941.. ................... ................... ......................... Catlin Insurance Company Inc........................... TX............. IA.................. Catlin Indemnity Company............................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 94-3094358.. ................... ................... ......................... Catlin Underwriting Inc....................................... DE............. NIA............... Catlin, LLC........................................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 43-1956637.. ................... ................... ......................... XLA Garrison L.P............................................... DE............. NIA............... X.L. America, Inc.............................................. OTHER.............. .................. AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Highfield Associates LLC................................... DE............. NIA............... XLA Garrison L.P............................................. OWNERSHIP.... ......20.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Ada Fund GP, LLC............................................. DE............. NIA............... XLA Garrison L.P............................................. OWNERSHIP.... ......15.000 AXA SA............................................................ ......N....... .............0000 ............................................... 20583... 13-1290712.. ................... ................... ......................... XL Reinsurance America Inc.............................. NY............. RE................ X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Insurance (China) Company Ltd................... CHN.......... DS................ XL Reinsurance America Inc............................ OWNERSHIP.... ......51.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 06-1609624.. ................... ................... ......................... XL Value Onshore LLC...................................... DE............. DS................ XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 47-2299432.. ................... ................... ......................... Catlin CCC Holdings LLC................................... DE............. DS................ XL Value Onshore LLC.................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... SMTC Guarantor LLC........................................ DE............. DS................ XL Value Onshore LLC.................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... SMTC Acquisition LLC....................................... DE............. DS................ SMTC Guarantor LLC...................................... OWNERSHIP.... ......92.670 AXA SA............................................................ ......N....... 14.........0000 ............................................... 22322... 95-1479095.. ................... ................... ......................... Greenwich Insurance Company......................... DE............. DS................ XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 01-0575742.. ................... ................... ......................... Global Asset Protection Services, LLC.............. CT............. DS................ Greenwich Insurance Company....................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Global Asset Protection Services CompanyLimited JPN........... DS................ Global Asset Protection Services, LLC............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... Boiler & Property Consulting, LLC...................... DE............. DS................ Global Asset Protection Services, LLC............ OWNERSHIP.... ......25.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Global Asset Protection Services Consultancy(Beijing) Company Limited CHN.......... DS................ Global Asset Protection Services, LLC............ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.8


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 24554... 75-6017952.. ................... ................... ......................... XL Insurance America, Inc................................. DE............. DS................ Greenwich Insurance Company....................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 19607... 75-1221488.. ................... ................... ......................... XL Select Insurance Company........................... DE............. DS................ XL Insurance America Inc................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 40193... 13-3787296.. ................... ................... ......................... XL Insurance Company of New York, Inc.......... NY............. DS................ XL Insurance America Inc................................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 22-3834549.. ................... ................... ......................... XL Group Investments LLC................................ DE............. DS................ XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0685604.. ................... ................... ......................... XL Group Investments Ltd.................................. BMU.......... NIA............... XL Group Investments LLC.............................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 37885... 85-0277191.. ................... ................... ......................... XL Specialty Insurance Company...................... DE............. DS................ XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 36940... 06-1346380.. ................... ................... ......................... Indian Harbor Insurance Company.................... DE............. DS................ XL Specialty Insurance Company.................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... CS&B Parent Holdings, LLC.............................. DE............. NIA............... XL Reinsurance America Inc............................ OWNERSHIP.... ......11.290 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 45-2729407.. ................... ................... ......................... Global Ag Insurance Services, LLC................... CA............. NIA............... XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 59-2492808.. ................... ................... ......................... Allied International Holdings, Inc........................ FL.............. NIA............... XL Reinsurance America Inc............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 59-3107831.. ................... ................... ......................... Short Term Special Events, Inc.......................... FL.............. NIA............... Allied International Holdings, Inc...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 12866... 04-2451053.. ................... ................... ......................... T.H.E. Insurance Company................................ LA............. IA.................. Allied International Holdings, Inc...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 59-2301981.. ................... ................... ......................... Allied Specialty Insurance, Inc........................... FL.............. NIA............... Allied International Holdings, Inc...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Allied Specialty Insurance Agency of CanadaLtd. CAN.......... NIA............... Allied International Holdings, Inc...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 06-1609624.. ................... ................... ......................... XL Global, Inc..................................................... DE............. NIA............... X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 47-3521363.. ................... ................... ......................... XL Innovate, LLC................................................ DE............. NIA............... XL Global, Inc................................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Oak Circle Capital Partners LLC........................ DE............. NIA............... XL Global, Inc................................................... OWNERSHIP.... ......34.580 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... HighVista Strategies LLC................................... DE............. NIA............... XL Global, Inc................................................... OWNERSHIP.... .................. AXA SA............................................................ ......N....... 9...........0000 ............................................... 00000... ..................... ................... ................... ......................... Highfields Capital Management LP.................... DE............. NIA............... XL Global, Inc................................................... OWNERSHIP.... ......20.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Vidrio Financial Ltd............................................. BMU.......... NIA............... XL Global, Inc................................................... OWNERSHIP.... ......36.100 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 06-1527321.. ................... ................... ......................... X.L. Global Services, Inc.................................... DE............. NIA............... X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 20-1208461.. ................... ................... ......................... Eagleview Insurance Brokerage Services, LLC. DE............. NIA............... X.L. Global Services, Inc.................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 22-3844763.. ................... ................... ......................... XL Life and Annuity Holding Company............... DE............. NIA............... X.L. America, Inc.............................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0424162.. ................... ................... ......................... XL Investments Ltd............................................. BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Capital Products Ltd...................................... BMU.......... NIA............... XL Investments Ltd........................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Angel Risk Management Limited........................ GBR.......... NIA............... XL Capital Products Ltd.................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Insurance Guernsey Limited......................... GGY.......... IA.................. XL Investments Ltd........................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0405202.. ................... ................... ......................... Garrison Investments Inc................................... BRB.......... NIA............... XL Investments Ltd........................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... 13.........0000 ............................................... 00000... ..................... ................... ................... ......................... XL (WESTERN EUROPE) S.a.r.l....................... LUX........... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Swiss Holdings Ltd........................................ CHE.......... NIA............... XL (WESTERN EUROPE) S.a.r.l..................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Re Latin America (Argentina SA).................. ARG.......... IA.................. XL Swiss Holdings Ltd...................................... OWNERSHIP.... ......20.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 30-0479676.. ................... ................... ......................... XL Insurance Switzerland Ltd............................. CHE.......... IA.................. XL Swiss Holdings Ltd...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Services Switzerland Ltd............................... CHE.......... NIA............... XL Swiss Holdings Ltd...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q13.9


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... ..................... ................... ................... ......................... XL India Business Services Private Limited....... IND............ NIA............... XL Swiss Holdings Ltd...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Seguros Mexico SA de CV........................... MEX.......... IA.................. XL Swiss Holdings Ltd...................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-1218274.. ................... ................... ......................... Green Holdings Limited...................................... BMU.......... NIA............... XL Bermuda Ltd............................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Managers Ltd........................................... BMU.......... NIA............... Green Holdings Limited.................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... New Ocean Opportunities Fund Ltd................... BMU.......... NIA............... Catlin Managers Ltd......................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Hubble Re Ltd.................................................... BMU.......... IA.................. Catlin Managers Ltd......................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0407572.. ................... ................... ......................... Catlin Insurance Company Ltd........................... BMU.......... IA.................. Green Holdings Limited.................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Catlin Middle East......................................... ARE.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Treasury Guernsey Limited...................... GGY.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Labuan Limited......................................... MYS.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Singapore Pte Ltd.................................... SGP.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Finance (UK) Ltd...................................... GBR.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-1093811.. ................... ................... ......................... Catlin USD Holdings Ltd..................................... BMU.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Insurance Company (UK) Holdings Ltd.... GBR.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Blue Marble Micro Limited.................................. GBR.......... NIA............... Catlin Insurance Company (UK) Holdings Ltd.. OWNERSHIP.... ......11.100 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0455349.. ................... ................... ......................... XL Catlin Insurance Company (UK) Ltd............. GBR.......... IA.................. Catlin Insurance Company (UK) Holdings Ltd.. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Treasury Luxembourg S.a.r.l.................... LUX........... NIA............... XL Catlin Insurance Company (UK) Ltd........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Catlin Insurance Company (UK) Ltd - Escritoriode Representacao no Brazil Ltda BRA.......... NIA............... XL Catlin Insurance Company (UK) Ltd........... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 46-3791467.. ................... ................... ......................... Catlin US Investment Holdings LLC................... DE............. NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ......45.000 AXA SA............................................................ ......N....... 7...........0000 ............................................... 00000... ..................... ................... ................... ......................... Worley Claims Services, LLC............................. LA............. NIA............... Catlin US Investment Holdings LLC................. OWNERSHIP.... ......13.680 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Hampden & Co plc............................................. GBR.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ......15.600 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Luxembourg S.a.r.l................................... LUX........... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 98-0683316.. ................... ................... .........................Catlin Re Swizterland Ltd./Catlin Re SchweizAG CHE.......... IA.................. Catlin Luxembourg S.a.r.l................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 83-3007374.. ................... ................... ......................... Seaview Re Holdings Inc................................... BMU.......... NIA...............Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 98-1464607.. ................... ................... ......................... Seaview Re Ltd.................................................. BMU.......... IA.................. Seaview Re Holdings Inc................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... XL Latin America Investments Ltd...................... BMU.......... NIA...............Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... XL Resseguros Brasil S.A.................................. BRA.......... IA..................Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... XL Re Latin America (Argentina SA).................. ARG.......... IA..................Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ......80.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Catlin Re Switzerland Ltd Escritório deRepresentação no Brasil Ltda BRA.......... IA..................

Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Westaim HIIG Limited Partnership, Ontario(Canada) CAN.......... NIA...............

Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ......13.110 AXA SA............................................................ ......N....... .............


Q13.10


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *

0000 ............................................... 00000... 46-3791467.. ................... ................... ......................... Catlin US Investment Holdings LLC................... DE............. NIA...............Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ......40.000 AXA SA............................................................ ......N....... 7...........

0000 ............................................... 00000... ..................... ................... ................... ......................... Worley Claims Services, LLC............................. LA............. NIA............... Catlin US Investment Holdings LLC................. OWNERSHIP.... ......13.680 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... 98-1339816.. ................... ................... ......................... XL Value Offshore LLC...................................... BMU.......... NIA...............Catlin Re Swizterland Ltd./Catlin Re SchweizAG OWNERSHIP.... ......25.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (WUPLC) Holdings Limited...................... BMU.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Underwriting............................................. GBR.......... NIA............... Catlin (WUPLC) Holdings Limited.................... OWNERSHIP.... ......99.900 AXA SA............................................................ ......N....... 6...........0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (CHUKL) Holdings Limited....................... BMU.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Underwriting............................................. GBR.......... NIA............... Catlin (CHUKL) Holdings Limited..................... OWNERSHIP.... ........0.100 AXA SA............................................................ ......N....... 6...........0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (North American) Holdings Ltd................. GBR.......... NIA............... Catlin Insurance Company Ltd......................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Investment Holdings (Jersey) Limited...... JEY........... NIA............... Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Investment (UK) Limited........................... GBR.......... NIA............... Catlin Investment Holdings (Jersey) Limited.... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (PUL) Limited........................................... GBR.......... NIA............... Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (One) Limited........................................... GBR.......... NIA............... Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Underwriting (UK) Limited DORMANT..... GBR.......... NIA............... Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Risk Solutions Limited.............................. GBR.......... NIA............... Catlin Underwriting (UK) Limited...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Underwriting Services Limited.................. GBR.......... NIA............... Catlin Underwriting (UK) Limited...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................Catlin (Wellington) Underwriting AgenciesLimited GBR.......... NIA............... Catlin Underwriting (UK) Limited...................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Syndicate Limited..................................... GBR.......... IA.................. Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Holdings (UK) Limited.............................. GBR.......... NIA............... Catlin (North American) Holdings Ltd............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Holdings Limited....................................... GBR.......... NIA............... Catlin Holdings (UK) Limited............................ OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Canada Inc............................................... CAN.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... XL Catlin Japan KK............................................ JPN........... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-0242114.. ................... ................... ......................... Catlin Underwriting Agencies Limited................. GBR.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 46-3791467.. ................... ................... ......................... Catlin US Investment Holdings LLC................... DE............. NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ......15.000 AXA SA............................................................ ......N....... 7...........0000 ............................................... 00000... ..................... ................... ................... ......................... Worley Claims Services, LLC............................. LA............. NIA............... Catlin US Investment Holdings LLC................. OWNERSHIP.... ......13.680 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Z Capital N-2L, L.L.C.......................................... DE............. NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Russian Reinsurance Company OJSC.............. RUS.......... IA.................. Catlin Underwriting Agencies Limited............... OWNERSHIP.... ......22.500 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Z Capital CUAL CO INVEST., L.L.C.................. DE............. NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Z Capital HG-C, L.L.C........................................ DE............. NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 90-1032236.. ................... ................... ......................... CUA-CVIII Holdings LLC.................................... DE............. NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... C-1001 State Co-Investor, LLC.......................... DE............. NIA............... CUA-CVIII Holdings LLC.................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............

0000 ............................................... 00000... ..................... ................... ................... .........................1001 South State Street Holdings Ventures,LLC DE............. NIA............... C-1001 State Co-Investor, LLC........................ OWNERSHIP.... ......28.420 AXA SA............................................................ ......N....... .............


Q13.11


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16Name of Type of


NAIC Traded Names of Relationship Management, Ownership FilingGroup Group Company ID Federal (U.S. or Parent, Subsidiaries Domiciliary to Reporting Directly Controlled by Attorney-in-Fact, Provide Ultimate Controlling Required?Code Name Code Number RSSD CIK International) or Affiliates Location Entity (Name of Entity/Person) Influence, Other) Percentage Entity(ies)/Person(s) (Y/N) *0000 ............................................... 00000... ..................... ................... ................... ......................... C-140W Co-Investor LLC................................... DE............. NIA............... CUA-CVIII Holdings LLC.................................. OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... 98-1339816.. ................... ................... ......................... XL Value Offshore LLC...................................... BMU.......... NIA............... Catlin Underwriting Agencies Limited............... OWNERSHIP.... ......40.000 AXA SA............................................................ ......N....... 8...........0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Guernsey Limited..................................... GGY.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Australia Pty Limited................................ AUS.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin (BB) Limited............................................. GBR.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Hong Kong Ltd Limited............................. HKG.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Angel Strategic Holdings Limited............. GBR.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Syndicate 6112 Limited (UK)................... GBR.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............0000 ............................................... 00000... ..................... ................... ................... ......................... Catlin Syndicate 6121 Limited............................ GBR.......... NIA............... Catlin Holdings Limited..................................... OWNERSHIP.... ....100.000 AXA SA............................................................ ......N....... .............


Q14

SUPPLEMENTAL EXHIBITS AND SCHEDULES INTERROGATORIESThe following supplemental reports are required to be filed as part of your statement filing. However, in the event that your company does not transact the type ofbusiness for which the special report must be filed, your response of NO to the specific interrogatory will be accepted in lieu of filing a "NONE" report and a bar codewill be printed below. If the supplement is required of your company but is not being filed for whatever reason, enter SEE EXPLANATION and provide anexplanation following the interrogatory questions.

Response

1. Will the Trusteed Surplus Statement be filed with the state of domicile and the NAIC with this statement? NO

2. Will the Medicare Part D Coverage Supplement be filed with the state of domicile and the NAIC with this statement? NO

3. Will the Reasonableness of Assumptions Certification required by Actuarial Guideline XXXV be filed with the state of domicile and electronicallywith the NAIC? NO

4. Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXV be filed with the state of domicileand electronically with the NAIC? NO

5. Will the Reasonableness of Assumptions Certification for Implied Guaranteed Rate Method required by Actuarial Guideline XXXVI be filed withthe state of domicile and electronically with the NAIC? NO

6. Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXVI (Updated Average Market Value)be filed with the state of domicile and electronically with the NAIC? NO

7. Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXVI (Updated Market Value) be filedwith the state of domicile and electronically with the NAIC? YES

8. Will the Life PBR Statement of Exemption be filed with the state of domicile by July 1st and electronically with the NAIC with the secondquarterly filing per the Valuation Manual (by August 15)? (2nd Quarterly Only). The response for 1st and 3rd quarters should be N/A.A NO response resulting with a barcode is only appropriate in the 2nd quarter. N/A

Explanations:1. The data for this supplement is not required to be filed.2. The data for this supplement is not required to be filed.3. The data for this supplement is not required to be filed.4. The data for this supplement is not required to be filed.5. The data for this supplement is not required to be filed.6. The data for this supplement is not required to be filed.7.8. Not Applicable for 1st and 3rd Quarters

Bar Code:

*78077201949000001* *78077201944700001*

*78077201936500001* *78077201944800001*

*78077201944500001*

*78077201944600001*


Q15

Overflow Page for Write-Ins

NONE


QSI01

SCHEDULE A - VERIFICATION Real Estate

1 2Prior Year Ended

Year to Date December 311. Book/adjusted carrying value, December 31 of prior year....................................................................................................... ...................................................0 ......................................................2. Cost of acquired:

2.1 Actual cost at time of acquisition...................................................................................................................................... ...................................................... ......................................................2.2 Additional investment made after acquisition................................................................................................................... ...................................................... ......................................................

3. Current year change in encumbrances................................................................................................................................... ...................................................... ......................................................4. Total gain (loss) on disposals.................................................................................................................................................. ...................................................... ......................................................5. Deduct amounts received on disposals................................................................................................................................... ...................................................... ......................................................6. Total foreign exchange change in book/adjusted carrying value............................................................................................. ...................................................... ......................................................7. Deduct current year's other-than-temporary impairment recognized...................................................................................... ...................................................... ......................................................8. Deduct current year's depreciation.......................................................................................................................................... ...................................................... ......................................................9. Book/adjusted carrying value at end of current period (Lines 1+2+3+4-5+6-7-8)................................................................... ...................................................0 ...................................................0

10. Deduct total nonadmitted amounts.......................................................................................................................................... ...................................................... ......................................................11. Statement value at end of current period (Line 9 minus Line 10)............................................................................................ ...................................................0 ...................................................0

NONE

SCHEDULE B - VERIFICATION Mortgage Loans

1 2Prior Year Ended

Year to Date December 311. Book value/recorded investment excluding accrued interest, December 31 of prior year....................................................... ...................................17,000,000 ...................................17,000,0002. Cost of acquired:


3. Capitalized deferred interest and other................................................................................................................................... ...................................................... ......................................................4. Accrual of discount.................................................................................................................................................................. ...................................................... ......................................................5. Unrealized valuation increase (decrease)............................................................................................................................... ...................................................... ......................................................6. Total gain (loss) on disposals.................................................................................................................................................. ...................................................... ......................................................7. Deduct amounts received on disposals................................................................................................................................... ...................................................... ......................................................8. Deduct amortization of premium and mortgage interest points and commitment fees............................................................ ...................................................... ......................................................9. Total foreign exchange change in book value/recorded investment excluding accrued interest............................................. ...................................................... ......................................................

10. Deduct current year's other-than-temporary impairment recognized...................................................................................... ...................................................... ......................................................11. Book value/recorded investment excluding accrued interest at end of current period (Lines 1+2+3+4+5+6-7-8+9-10)......... ...................................17,000,000 ...................................17,000,00012. Total valuation allowance........................................................................................................................................................ ...................................................... ......................................................13. Subtotal (Line 11 plus Line 12)................................................................................................................................................ ...................................17,000,000 ...................................17,000,00014. Deduct total nonadmitted amounts.......................................................................................................................................... ...................................................... ......................................................15. Statement value at end of current period (Line 13 minus Line 14).......................................................................................... ...................................17,000,000 ...................................17,000,000

SCHEDULE BA - VERIFICATION Other Long-Term Invested Assets

1 2Prior Year Ended

Year to Date December 311. Book/adjusted carrying value, December 31 of prior year....................................................................................................... ...................................................3 ...................................................32. Cost of acquired:


3. Capitalized deferred interest and other................................................................................................................................... ...................................................... ......................................................4. Accrual of discount.................................................................................................................................................................. ...................................................... ......................................................5. Unrealized valuation increase (decrease)............................................................................................................................... ...................................................... ......................................................6. Total gain (loss) on disposals.................................................................................................................................................. ...................................................... ......................................................7. Deduct amounts received on disposals................................................................................................................................... ...................................................... ......................................................8. Deduct amortization of premium and depreciation.................................................................................................................. ...................................................... ......................................................9. Total foreign exchange change in book/adjusted carrying value............................................................................................. ...................................................... ......................................................

10. Deduct current year's other-than-temporary impairment recognized...................................................................................... ...................................................... ......................................................11. Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5+6-7-8+9-10)......................................................... ...................................................3 ...................................................312. Deduct total nonadmitted amounts.......................................................................................................................................... ...................................................... ......................................................13. Statement value at end of current period (Line 11 minus Line 12).......................................................................................... ...................................................3 ...................................................3

SCHEDULE D - VERIFICATION Bonds and Stocks

1 2Prior Year Ended

Year to Date December 311. Book/adjusted carrying value of bonds and stocks, December 31 of prior year...................................................................... ..............................1,124,672,697 ..............................1,074,250,2092. Cost of bonds and stocks acquired......................................................................................................................................... ...................................52,632,668 .................................382,401,2733. Accrual of discount.................................................................................................................................................................. ........................................195,679 ........................................396,5894. Unrealized valuation increase (decrease)............................................................................................................................... .....................................3,046,748 .....................................4,405,1715. Total gain (loss) on disposals.................................................................................................................................................. .......................................(456,557) ....................................(7,427,686)6. Deduct consideration for bonds and stocks disposed of......................................................................................................... ...................................16,899,758 .................................326,070,6017. Deduct amortization of premium.............................................................................................................................................. ........................................323,864 .....................................1,217,5898. Total foreign exchange change in book/adjusted carrying value............................................................................................. ...................................................... ......................................................9. Deduct current year's other-than-temporary impairment recognized...................................................................................... ...................................................... .....................................2,064,669

10. Total investment income recognized as a result of prepayment penalties and/or acceleration fees....................................... ...................................................... ......................................................11. Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9+10)......................................................... ..............................1,162,867,613 ..............................1,124,672,69712. Deduct total nonadmitted amounts.......................................................................................................................................... ...................................................... ......................................................13. Statement value at end of current period (Line 11 minus Line 12).......................................................................................... ..............................1,162,867,613 ..............................1,124,672,697


QSI02

SCHEDULE D - PART 1B Showing the Acquisitions, Dispositions and Non-Trading Activity

During the Current Quarter for all Bonds and Preferred Stock by NAIC Designation1 2 3 4 5 6 7 8

Book/Adjusted Carrying Acquisitions Dispositions Non-Trading Activity Book/Adjusted Carrying Book/Adjusted Carrying Book/Adjusted Carrying Book/Adjusted Carrying Value Beginning During During During Value End of Value End of Value End of Value December 31

NAIC Designation of Current Quarter Current Quarter Current Quarter Current Quarter First Quarter Second Quarter Third Quarter Prior Year

BONDS

1. NAIC 1 (a)................................................................................................... ..........................475,179,751 ............................39,664,048 .................................135,756 ............................13,848,502 ..........................528,556,545 ............................................... ............................................... ..........................475,179,751

2. NAIC 2 (a)................................................................................................... ..........................585,521,336 ............................12,968,620 ............................10,879,222 ...........................(18,092,223) ..........................569,518,511 ............................................... ............................................... ..........................585,521,336

3. NAIC 3 (a)................................................................................................... ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

4. NAIC 4 (a)................................................................................................... ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

5. NAIC 5 (a)................................................................................................... ..............................4,423,328 ............................................... ..............................4,395,087 ..............................4,115,535 ..............................4,143,776 ............................................... ............................................... ..............................4,423,328

6. NAIC 6 (a)................................................................................................... .................................328,750 ............................................... ............................................... ............................................... .................................328,750 ............................................... ............................................... .................................328,750

7. Total Bonds................................................................................................. .......................1,065,453,165 ............................52,632,668 ............................15,410,065 ................................(128,186) .......................1,102,547,582 ............................................0 ............................................0 .......................1,065,453,165

PREFERRED STOCK

8. NAIC 1........................................................................................................ ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

9. NAIC 2........................................................................................................ ..............................4,196,250 ............................................... ..............................1,946,250 ............................................... ..............................2,250,000 ............................................... ............................................... ..............................4,196,250

10. NAIC 3........................................................................................................ ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

11. NAIC 4........................................................................................................ ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

12. NAIC 5........................................................................................................ ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

13. NAIC 6........................................................................................................ ............................................... ............................................... ............................................... ............................................... ............................................0 ............................................... ............................................... ...............................................

14. Total Preferred Stock.................................................................................. ..............................4,196,250 ............................................0 ..............................1,946,250 ............................................0 ..............................2,250,000 ............................................0 ............................................0 ..............................4,196,250

15. Total Bonds and Preferred Stock................................................................. .......................1,069,649,415 ............................52,632,668 ............................17,356,315 ................................(128,186) .......................1,104,797,582 ............................................0 ............................................0 .......................1,069,649,415(a) Book/Adjusted Carrying Value column for the end of the current reporting period includes the following amount of short-term and cash equivalent bonds by NAIC designation:

NAIC 1 $..........0; NAIC 2 $..........0; NAIC 3 $..........0; NAIC 4 $..........0; NAIC 5 $..........0; NAIC 6 $..........0.


QSI03

SCHEDULE DA - PART 1 Short-Term Investments

1 2 3 4 5Book/Adjusted Actual Interest Collected Paid for Accrued InterestCarrying Value Par Value Cost Year To Date Year To Date

9199999......................................... ................................................ ....................XXX..................... ................................................ ................................................ ................................................NONE

SCHEDULE DA - VERIFICATION Short-Term Investments

1 2Prior Year Ended

Year To Date December 31

1. Book/adjusted carrying value, December 31 of prior year................................................................................................. ......................................................0 .........................................................

2. Cost of short-term investments acquired........................................................................................................................... ......................................................... .........................................................

3. Accrual of discount............................................................................................................................................................. ......................................................... .........................................................

4. Unrealized valuation increase (decrease).......................................................................................................................... ......................................................... .........................................................

5. Total gain (loss) on disposals............................................................................................................................................ ......................................................... .........................................................

6. Deduct consideration received on disposals...................................................................................................................... ......................................................... .........................................................

7. Deduct amortization of premium........................................................................................................................................ ......................................................... .........................................................

8. Total foreign exchange change in book/adjusted carrying value....................................................................................... ......................................................... .........................................................

9. Deduct current year's other-than-temporary impairment recognized................................................................................. ......................................................... .........................................................

10. Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9)......................................................... ......................................................0 ......................................................0

11. Deduct total nonadmitted amounts.................................................................................................................................... ......................................................... .........................................................

12. Statement value at end of current period (Line 10 minus Line 11).................................................................................... ......................................................0 ......................................................0

NONE


QSI04

SCHEDULE DB - PART A - VERIFICATION Options, Caps, Floors, Collars, Swaps and Forwards

1. Book/adjusted carrying value, December 31, prior year (Line 9, prior year).............................................................................................................................................. 12,416,099

2. Cost paid/(consideration received) on additions........................................................................................................................................................................................ 332,426

3. Unrealized valuation increase/(decrease).................................................................................................................................................................................................. 8,028,612

4. Total gain (loss) on termination recognized............................................................................................................................................................................................... 1,920,294

5. Considerations received/(paid) on terminations......................................................................................................................................................................................... 3,220,940

6. Amortization...............................................................................................................................................................................................................................................

7. Adjustment to the book/adjusted carrying value of hedge item..................................................................................................................................................................

8. Total foreign exchange change in book/adjusted carrying value...............................................................................................................................................................

9. Book/adjusted carrying value at end of current period (Lines 1 + 2 + 3 + 4 - 5 + 6 + 7 + 8)...................................................................................................................... 19,476,491

10. Deduct nonadmitted assets........................................................................................................................................................................................................................

11. Statement value at end of current period (Line 9 minus Line 10)............................................................................................................................................................... 19,476,491

SCHEDULE DB - PART B - VERIFICATIONFutures Contracts

1. Book/adjusted carrying value, December 31, prior year (Line 6, prior year).............................................................................................................................................. 6,276,000

2. Cumulative cash change (Section 1, Broker Name/Net Cash Deposits Footnote - Cumulative Cash Change column)........................................................................... 13,019,150

3.1 Add:

Change in variation margin on open contracts - Highly Effective Hedges:

3.11 Section 1, Column 15, current year to date minus...........................

3.12 Section 1, Column 15, prior year...................................................... 0

Change in variation margin on open contracts - All Other:

3.13 Section 1, Column 18, current year to date minus........................... 5,576,145

3.14 Section 1, Column 18, prior year...................................................... (1,265,710) 6,841,855 6,841,855

3.2 Add:

Change in adjustment to basis of hedged item:

3.21 Section 1, Column 17, current year to date minus...........................

3.22 Section 1, Column 17, prior year...................................................... 0

Change in amount recognized:

3.23 Section 1, Column 19, current year to date minus........................... 5,576,145

3.24 Section 1, Column 19, prior year...................................................... (1,265,710) 6,841,855 6,841,855

3.3 Subtotal (Line 3.1 minus Line 3.2).............................................................................................................................................................................................................. 0

4.1 Cumulative variation margin on terminated contracts during the year....................................................... 25,328,242

4.2 Less:

4.21 Amount used to adjust basis of hedged item...................................

4.22 Amount recognized.......................................................................... 25,328,242 25,328,242

4.3 Subtotal (Line 4.1 minus Line 4.2).............................................................................................................................................................................................................. 0

5. Dispositions gains (losses) on contracts terminated in prior year:

5.1 Total gain (loss) recognized for terminations in prior year...............................................................................................................................................................

5.2 Total gain (loss) adjusted into the hedged item(s) for the terminations in prior year........................................................................................................................

6. Book/adjusted carrying value at end of current period (Lines 1 + 2 + 3.3 - 4.3 - 5.1 - 5.2)........................................................................................................................ 19,295,150

7. Deduct nonadmitted assets........................................................................................................................................................................................................................

8. Statement value at end of current period (Line 6 minus Line 7)................................................................................................................................................................. 19,295,150


QSI05, QSI06

Sch. DB - Pt. C - Sn. 1NONE

Sch. DB - Pt. C - Sn. 2NONE


QSI07

SCHEDULE DB - VERIFICATIONVerification of Book/Adjusted Carrying Value, Fair Value and Potential Exposure of all Open Derivative Contracts

Book/Adjusted Carrying Value Check

1. Part A, Section 1, Column 14....................................................................................................................................................... 19,476,491

2. Part B, Section 1, Column 15 plus Part B, Section 1 Footnote - Total Ending Cash Balance..................................................... 19,295,150

3. Total (Line 1 plus Line 2).................................................................................................................................................................................................................... 38,771,641

4. Part D, Section 1, Column 5........................................................................................................................................................ 38,771,641

5. Part D, Section 1, Column 6........................................................................................................................................................

6. Total (Line 3 minus Line 4 minus Line 5)............................................................................................................................................................................................ 0

Fair Value Check

7. Part A, Section 1, Column 16....................................................................................................................................................... 19,476,491

8. Part B, Section 1, Column 13....................................................................................................................................................... 2,642,416

9. Total (Line 7 plus Line 8).................................................................................................................................................................................................................... 22,118,907

10. Part D, Section 1, Column 8........................................................................................................................................................ 22,118,907

11. Part D, Section 1, Column 9........................................................................................................................................................

12. Total (Line 9 minus Line 10 minus Line 11)........................................................................................................................................................................................ (0)

Potential Exposure Check

13. Part A, Section 1, Column 21....................................................................................................................................................... 514,517

14. Part B, Section 1, Column 20....................................................................................................................................................... 20,123,150

15. Part D, Section 1, Column 11...................................................................................................................................................... 20,637,667

16. Total (Line 13 plus Line 14 minus Line 15)......................................................................................................................................................................................... 0


QSI08

SCHEDULE E - PART 2 - VERIFICATION Cash Equivalents

1 2Prior Year Ended

Year To Date December 31

1. Book/adjusted carrying value, December 31 of prior year................................................................................... ............................................44,209,301 ............................................35,427,276

2. Cost of cash equivalents acquired....................................................................................................................... ..........................................238,080,079 ..........................................799,259,336

3. Accrual of discount............................................................................................................................................... ............................................................... ...............................................................

4. Unrealized valuation increase (decrease)............................................................................................................ ............................................................... ...............................................................

5. Total gain (loss) on disposals............................................................................................................................... ............................................................... ...............................................................

6. Deduct consideration received on disposals........................................................................................................ ..........................................121,853,123 ..........................................790,477,311

7. Deduct amortization of premium.......................................................................................................................... ............................................................... ...............................................................

8. Total foreign exchange change in book/ adjusted carrying value........................................................................ ............................................................... ...............................................................

9. Deduct current year's other-than-temporary impairment recognized................................................................... ............................................................... ...............................................................

10. Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9)............................................ ..........................................160,436,257 ............................................44,209,301

11. Deduct total nonadmitted amounts....................................................................................................................... ............................................................... ...............................................................

12. Statement value at end of current period (Line 10 minus Line 11)....................................................................... ..........................................160,436,257 ............................................44,209,301


QE01, QE02, QE03

Sch. A Pt. 2NONE

Sch. A Pt. 3NONE

Sch. B - Pt. 2NONE

Sch. B - Pt. 3NONE

Sch. BA - Pt. 2NONE

Sch. BA - Pt. 3NONE


QE04

SCHEDULE D - PART 3Showing all Long-Term Bonds and Stocks ACQUIRED During Current Quarter

1 2 3 4 5 6 7 8 9 10

CUSIP Identification Description Foreign Date Acquired Name of Vendor Number of Shares of Stock Actual Cost Par Value Paid for Accrued Interest and Dividends

NAIC Designation andAdministrative

Symbol/Market Indicator(a)

Bonds - U.S. Government912828 T9 1 US TREASURY............................................................................................................ ................ 03/13/2019........ GOLDMAN SACHS............................................................................................. ....................................................... ......................................1,543,438 ......................................1,600,000 .............................................9,624 1...............................912828 V9 8 US TREASURY............................................................................................................ ................ 02/22/2019........ GOLDMAN SACHS............................................................................................. ....................................................... ......................................1,072,328 ......................................1,100,000 ................................................684 1...............................0599999. Total - Bonds - U.S. Government................................................................................................ ........................................................................................................................................................................... ....................................................... ......................................2,615,766 ......................................2,700,000 ...........................................10,308 ............XXX..............

Bonds - Industrial and Miscellaneous114259 AT 1 BROOKLYN UNION GAS CO/THE............................................................................... ................ 02/27/2019........ BANK OF AMERICA CORP................................................................................. ....................................................... ......................................5,000,000 ......................................5,000,000 ....................................................... 1FE..........................209111 FP 3 CONSOLIDATED EDISON CO OF NEW...................................................................... ................ 03/12/2019........ WELLS FARGO................................................................................................... ....................................................... ......................................2,609,360 ......................................2,525,000 ...........................................31,717 1FE..........................244199 BD 6 DEERE & COMPANY................................................................................................... ................ 02/27/2019........ SUSQUEHANNA FINANCIAL GROUP LLLP....................................................... ....................................................... ......................................3,268,046 ......................................2,803,000 ...........................................56,498 1FE..........................254687 CY 0 WALT DISNEY CO/THE............................................................................................... ................ 03/20/2019........ DIRECT............................................................................................................... ....................................................... ......................................2,677,403 ......................................2,678,000 ....................................................... 1FE..........................254687 DJ 2 WALT DISNEY CO/THE............................................................................................... ................ 03/20/2019........ DIRECT............................................................................................................... ....................................................... ......................................2,496,202 ......................................2,500,000 ...........................................29,297 1FE..........................26884A BJ 1 ERP OPERATING LP................................................................................................... ................ 03/20/2019........ BANK OF AMERICA CORP................................................................................. ....................................................... ......................................1,345,667 ......................................1,335,000 .............................................2,726 1FE..........................26884A BK 8 ERP OPERATING LP................................................................................................... ................ 03/11/2019........ BARCLAYS PLC.................................................................................................. ....................................................... ......................................2,616,775 ......................................2,500,000 ...........................................29,684 1FE..........................465685 AP 0 ITC HOLDINGS CORP................................................................................................. ................ 03/25/2019........ SUSQUEHANNA FINANCIAL GROUP LLLP....................................................... ....................................................... ......................................1,021,209 ......................................1,034,000 ...........................................12,701 2FE..........................482480 AG 5 KLA-TENCOR CORP................................................................................................... ................ 03/22/2019........ JPMORGAN CHASE & CO.................................................................................. ....................................................... ......................................3,009,811 ......................................3,000,000 ................................................849 2FE..........................532457 BV 9 ELI LILLY & CO............................................................................................................ ................ 03/19/2019........ CREDIT SUISSE GROUP................................................................................... ....................................................... ......................................4,035,200 ......................................4,000,000 ...........................................10,875 1FE..........................65339K BJ 8 NEXTERA ENERGY CAPITAL HOLDING.................................................................... ................ 03/28/2019........ BANK OF AMERICA CORP................................................................................. ....................................................... ......................................1,394,624 ......................................1,400,000 ....................................................... 2FE..........................68389X BN 4 ORACLE CORP........................................................................................................... ................ 03/28/2019........ GOLDMAN SACHS............................................................................................. ....................................................... ......................................6,005,460 ......................................6,000,000 ...........................................70,958 1FE..........................78409V AK 0 S&P GLOBAL INC........................................................................................................ ................ 03/29/2019........ JPMORGAN CHASE & CO.................................................................................. ....................................................... ......................................2,155,160 ......................................2,000,000 ...........................................11,489 1FE..........................88579Y BG 5 3M CO.......................................................................................................................... ................ 03/29/2019........ GOLDMAN SACHS............................................................................................. ....................................................... ......................................3,601,990 ......................................3,500,000 ...........................................13,125 1FE..........................907818 CF 3 UNION PACIFIC CORP............................................................................................... ................ 03/21/2019........ STIFEL NICOLAUS............................................................................................. ....................................................... ......................................1,237,020 ......................................1,000,000 .............................................9,938 1FE..........................91913Y AV 2 VALERO ENERGY CORP............................................................................................ ................ 03/14/2019........ GOLDMAN SACHS............................................................................................. ....................................................... ......................................2,043,660 ......................................2,000,000 ...........................................25,858 2FE..........................03835V AG 1 APTIV PLC................................................................................................................... D............. 02/28/2019........ BARCLAYS PLC.................................................................................................. ....................................................... ......................................1,498,185 ......................................1,500,000 ....................................................... 2FE..........................456873 AD 0 INGERSOLL-RAND LUXEMBOURG FINA................................................................... D............. 03/20/2019........ VARIOUS............................................................................................................ ....................................................... ......................................4,001,130 ......................................4,000,000 ................................................106 2FE..........................3899999. Total - Bonds - Industrial and Miscellaneous............................................................................... ........................................................................................................................................................................... ....................................................... ....................................50,016,902 ....................................48,775,000 .........................................305,821 ............XXX..............8399997. Total - Bonds - Part 3.................................................................................................................. ........................................................................................................................................................................... ....................................................... ....................................52,632,668 ....................................51,475,000 .........................................316,129 ............XXX..............8399999. Total - Bonds.............................................................................................................................. ........................................................................................................................................................................... ....................................................... ....................................52,632,668 ....................................51,475,000 .........................................316,129 ............XXX..............9999999. Total - Bonds, Preferred and Common Stocks............................................................................ ........................................................................................................................................................................... ....................................................... ....................................52,632,668 XXX .........................................316,129 ............XXX..............

(a) For all common stock bearing NAIC market indicator "U" provide the number of such issues:...............0.


QE05

SCHEDULE D - PART 4Showing all Long-Term Bonds and Stocks SOLD, REDEEMED or Otherwise DISPOSED OF During Current Quarter

1 2 3 4 5 6 7 8 9 10 Change in Book/Adjusted Carrying Value 16 17 18 19 20 21 2211 12 13 14 15

CUSIP Identification Description

Foreign

DisposalDate Name of Purchaser

Number ofShares of Stock Consideration Par Value Actual Cost

Prior YearBook/AdjustedCarrying Value

UnrealizedValuationIncrease

(Decrease)

CurrentYear's

(Amortization)/ Accretion

CurrentYear's

Other-Than-TemporaryImpairmentRecognized

Total Changein B./A.C.V.(11+12-13)

Total ForeignExchangeChange inB./A.C.V.

Book/AdjustedCarrying Value at

Disposal Date

ForeignExchange

Gain (Loss)on Disposal

RealizedGain (Loss)on Disposal

Total Gain(Loss) onDisposal

BondInterest /

StockDividendsReceived

During Year

StatedContractual

MaturityDate

NAICDesignationand Admini-

strativeSymbol/Market

Indicator (a)Bonds - U.S. Government912828 WD 8 UNITED STATES OF AMERICA TREAS... .. 02/12/2019. PRIOR YEAR INCOME.................. ........................... ........................ ........................ ........................ ............................ .................... ..................... .................. ....................0 .................... ............................ ................... ................... ..................0 .......35,375 10/31/2018. 1................

0599999. Total - Bonds - U.S. Government................................................. ..................................................................................... .....................0 .....................0 .....................0 .........................0 .................0 ..................0 ...............0 ....................0 .................0 .........................0 ................0 ................0 ..................0 .......35,375 XXX XXXBonds - U.S. Special Revenue and Special Assessment3128KV H5 7 FED HOME LOAN MTG CORP.................. .. 03/01/2019. MBS PAYDOWN............................ ........................... ..............1,090 ..............1,090 ..............1,095 ..................1,090 .................... ..................... .................. ....................0 .................... ..................1,090 ................... ................... ..................0 ..............11 08/01/2037. 1................

3199999. Total - Bonds - U.S. Special Revenue and Special Assessments. ..................................................................................... ..............1,090 ..............1,090 ..............1,095 ..................1,090 .................0 ..................0 ...............0 ....................0 .................0 ..................1,090 ................0 ................0 ..................0 ..............11 XXX XXXBonds - Industrial and Miscellaneous00111@ AA 2 AES HAWAII INC....................................... .. 03/31/2019. SINKING FUND REDEMPTION..... ........................... ..........307,200 ..........307,200 ..........279,552 ..............279,552 .................... ..................... .................. ....................0 .................... ..............279,552 ................... .......27,648 .........27,648 ................... 06/30/2022. 5................281020 AM 9 EDISON INTERNATIONAL........................ .. 01/30/2019. JEFFERIES GROUP LLC............... ........................... .......1,599,736 .......1,849,000 .......1,847,212 ...........1,847,334 .................... ................12 .................. ...................12 .................... ...........1,847,346 ................... ....(247,610) ......(247,610) .......28,814 03/15/2028. 2FE............694308 HS 9 PACIFIC GAS & ELECTRIC CO................ .. 01/28/2019. MORGAN STANLEY...................... ........................... .......3,975,000 .......5,000,000 .......4,115,535 ...........4,115,535 .................... ..................... .................. ....................0 .................... ...........4,115,535 ................... ....(140,535) ......(140,535) ................... 03/15/2027. 5FE............694308 HY 6 PACIFIC GAS & ELECTRIC CO................ .. 01/24/2019. MORGAN STANLEY...................... ........................... .......3,687,500 .......5,000,000 .......3,783,560 ...........3,783,560 .................... ..................... .................. ....................0 .................... ...........3,783,560 ................... ......(96,060) ........(96,060) ................... 12/01/2047. 2FE............88031V AA 7 TENASKA GATEWAY PARTNERS............ .. 03/30/2019. SINKING FUND REDEMPTION..... ........................... ............74,710 ............74,710 ............74,710 ................74,710 .................... ..................... .................. ....................0 .................... ................74,710 ................... ................... ..................0 .........1,130 12/30/2023. 2FE............90131H AE 5 21ST CENTURY FOX AMERICA INC........ .. 03/20/2019. DIRECT.......................................... ........................... .......2,677,403 .......2,678,000 .......2,676,936 ...........2,677,381 .................... ................21 .................. ...................21 .................... ...........2,677,403 ................... ................... ..................0 .......54,973 09/15/2024. 2FE............90131H CB 9 21ST CENTURY FOX AMERICA INC........ .. 03/20/2019. DIRECT.......................................... ........................... .......2,496,202 .......2,500,000 .......2,495,334 ...........2,496,107 .................... ................95 .................. ...................95 .................... ...........2,496,202 ................... ................... ..................0 .......61,094 11/15/2026. 2FE............90363@ AB 6 USTA NATIONAL TENNIS CENTER......... .. 01/08/2019. SINKING FUND REDEMPTION..... ........................... ..........134,666 ..........134,666 ..........134,666 ..............134,666 .................... ..................... .................. ....................0 .................... ..............134,666 ................... ................... ..................0 .........2,747 09/08/2039. 1PL............3899999. Total - Bonds - Industrial and Miscellaneous................................ ..................................................................................... .....14,952,417 .....17,543,576 .....15,407,505 .........15,408,845 .................0 ..............128 ...............0 .................128 .................0 .........15,408,974 ................0 ....(456,557) ......(456,557) .....148,758 XXX XXX8399997. Total - Bonds - Part 4................................................................... ..................................................................................... .....14,953,507 .....17,544,666 .....15,408,600 .........15,409,935 .................0 ..............128 ...............0 .................128 .................0 .........15,410,064 ................0 ....(456,557) ......(456,557) .....184,144 XXX XXX8399999. Total - Bonds............................................................................... ..................................................................................... .....14,953,507 .....17,544,666 .....15,408,600 .........15,409,935 .................0 ..............128 ...............0 .................128 .................0 .........15,410,064 ................0 ....(456,557) ......(456,557) .....184,144 XXX XXXPreferred Stocks - Industrial and Miscellaneous92276M 20 4 VENTAS REALTY LP................................. .. 01/03/2019. CALLED THRU ISSUER at 25.000. ........77,850.000 .......1,946,250 ..............25.00 .......1,946,250 ...........1,946,250 .................... ..................... .................. ....................0 .................... ...........1,946,250 ................... ................... ..................0 .........5,304 XXX P2FEL........

8499999. Total - Preferred Stocks - Industrial and Miscellaneous................ ..................................................................................... .......1,946,250 XXX .......1,946,250 ...........1,946,250 .................0 ..................0 ...............0 ....................0 .................0 ...........1,946,250 ................0 ................0 ..................0 .........5,304 XXX XXX8999997. Total - Preferred Stocks - Part 4................................................... ..................................................................................... .......1,946,250 XXX .......1,946,250 ...........1,946,250 .................0 ..................0 ...............0 ....................0 .................0 ...........1,946,250 ................0 ................0 ..................0 .........5,304 XXX XXX8999999. Total - Preferred Stocks............................................................... ..................................................................................... .......1,946,250 XXX .......1,946,250 ...........1,946,250 .................0 ..................0 ...............0 ....................0 .................0 ...........1,946,250 ................0 ................0 ..................0 .........5,304 XXX XXX9899999. Total - Preferred and Common Stocks......................................... ..................................................................................... .......1,946,250 XXX .......1,946,250 ...........1,946,250 .................0 ..................0 ...............0 ....................0 .................0 ...........1,946,250 ................0 ................0 ..................0 .........5,304 XXX XXX9999999. Total - Bonds, Preferred and Common Stocks............................. ..................................................................................... .....16,899,757 XXX .....17,354,850 .........17,356,185 .................0 ..............128 ...............0 .................128 .................0 .........17,356,314 ................0 ....(456,557) ......(456,557) .....189,448 XXX XXX(a) For all common stock bearing the NAIC market indicator "U" provide: the number of such issues: ..........0.


QE06

SCHEDULE DB - PART A - SECTION 1Showing all Options, Caps, Floors, Collars, Swaps and Forwards Open as of Current Statement Date

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23

DescriptionDescription of Item(s) Hedged, Used for Income

Generation or Replicated

Schedule/ ExhibitIdentifier

Type(s) ofRisk(s)

(a)Exchange,or Central

CounterpartyClearinghouse

TradeDate

Date ofMaturity orExpiration

Number ofContracts

NotionalAmount

Strike Price,Rate of Index

Received(Paid)

CumulativePrior Year(s)Initial Cost ofUndiscounted

Premium(Received)

Paid

Current YearInitial Cost ofUndiscounted

Premium(Received)

PaidCurrent Year

IncomeBook/AdjustedCarrying Value

Code Fair Value


(Decrease)


CurrentYear's

(Amortization) / Accretion

Adjustmentto Carrying

Value ofHedged

ItemsPotentialExposure

CreditQuality ofReference

Entity

HedgeEffectivenessat Inceptionand at Year-

end (b)

Purchased Options - Hedging Other - Collars660359 MLOA Athena Collar 487-S&P500.......... LIFE HEDGE.......................................................... N/A.........

Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/15/2016 04/15/2019 .........296 .........418,880 3017.06.......... ............(1,845) ........................ ........................ ...................(18) ... ...................(18) ...........1,827 ...................... ...................... .................... ................425 ................. 003...............

660360 MLOA Athena Collar 487-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/15/2016 04/15/2019 .........296 .........418,880 2080.73.......... ...........67,588 ........................ ........................ ...........222,643 ... ...........222,643 .......155,054 ...................... ...................... .................... ................425 ................. 003...............

660361 MLOA Athena Collar 488-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/15/2016 04/15/2019 .........557 ......1,578,806 2080.73.......... .........127,374 ........................ ........................ ...........419,582 ... ...........419,582 .......292,208 ...................... ...................... .................... .............1,600 ................. 003...............


660363 MLOA Athena Collar 489-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/15/2016 04/15/2019 .........281 .........398,447 2913.02.......... ............(3,101) ........................ ........................ .................(674) ... .................(674) ...........2,426 ...................... ...................... .................... ................404 ................. 003...............


660365 MLOA Athena Collar 490-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/15/2016 04/15/2019 .........287 .........407,302 3121.10.......... ...............(897) ........................ ........................ .....................(1) ... .....................(1) ..............896 ...................... ...................... .................... ................413 ................. 003...............

666040 MLOA Athena Collar 495-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 05/17/2016 05/14/2019 .........398 .........563,499 2968.45.......... ............(2,605) ........................ ........................ ..............(1,759) ... ..............(1,759) ..............845 ...................... ...................... .................... ................978 ................. 003...............

666041 MLOA Athena Collar 495-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 05/17/2016 05/14/2019 .........398 .........563,499 2047.21.......... ...........92,064 ........................ ........................ ...........312,618 ... ...........312,618 .......220,554 ...................... ...................... .................... ................978 ................. 003...............

666042 MLOA Athena Collar 496-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 05/17/2016 05/14/2019 .........406 ......1,151,920 2047.21.......... ...........94,099 ........................ ........................ ...........319,531 ... ...........319,531 .......225,432 ...................... ...................... .................... .............2,000 ................. 003...............

666043 MLOA Athena Collar 497-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 05/17/2016 05/14/2019 .........209 .........295,595 2866.09.......... ............(2,434) ........................ ........................ ..............(6,714) ... ..............(6,714) ..........(4,280) ...................... ...................... .................... ................513 ................. 003...............



666046 MLOA Athena Collar 498-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 05/17/2016 05/14/2019 .........354 .........501,196 3070.82.......... ............(1,021) ........................ ........................ .................(247) ... .................(247) ..............774 ...................... ...................... .................... ................870 ................. 003...............

673144 MLOA Athena Collar 523-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........117 .........165,563 2071.50.......... ...........28,493 ........................ ........................ .............89,127 ... .............89,127 .........60,634 ...................... ...................... .................... ................375 ................. 003...............

673145 MLOA Athena Collar 523-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........117 .........165,563 2900.10.......... ............(2,130) ........................ ........................ ..............(3,946) ... ..............(3,946) ..........(1,816) ...................... ...................... .................... ................375 ................. 003...............

673146 MLOA Athena Collar 524-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........388 .........549,366 2071.50.......... ...........94,545 ........................ ........................ ...........295,740 ... ...........295,740 .......201,195 ...................... ...................... .................... .............1,245 ................. 003...............

673147 MLOA Athena Collar 524-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........388 .........549,366 3003.68.......... ............(4,497) ........................ ........................ ..............(2,758) ... ..............(2,758) ...........1,738 ...................... ...................... .................... .............1,245 ................. 003...............

673148 MLOA Athena Collar 525-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 ......1,109 ......3,142,947 2071.50.......... .........270,448 ........................ ........................ ...........845,971 ... ...........845,971 .......575,523 ...................... ...................... .................... .............7,123 ................. 003...............

673149 MLOA Athena Collar 526-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 ......1,005 ......1,423,699 2900.10.......... ..........(18,313) ........................ ........................ ............(33,931) ... ............(33,931) ........(15,619) ...................... ...................... .................... .............3,227 ................. 003...............

673150 MLOA Athena Collar 526-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 ......1,005 ......1,423,699 2071.50.......... .........245,017 ........................ ........................ ...........766,420 ... ...........766,420 .......521,403 ...................... ...................... .................... .............3,227 ................. 003...............

673151 MLOA Athena Collar 527-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........426 .........603,413 2071.50.......... .........103,846 ........................ ........................ ...........324,835 ... ...........324,835 .......220,989 ...................... ...................... .................... .............1,368 ................. 003...............

673152 MLOA Athena Collar 527-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2016 06/14/2019 .........426 .........603,413 3107.25.......... ............(3,069) ........................ ........................ .................(739) ... .................(739) ...........2,331 ...................... ...................... .................... .............1,368 ................. 003...............

681687 MLOA Athena Collar 541-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/15/2016 07/15/2019 .........183 .........259,611 2161.74.......... ...........43,057 ........................ ........................ ...........123,868 ... ...........123,868 .........80,811 ...................... ...................... .................... ................700 ................. 003...............

681688 MLOA Athena Collar 541-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/15/2016 07/15/2019 .........183 .........259,611 3026.44.......... ............(2,198) ........................ ........................ ..............(1,846) ... ..............(1,846) ..............352 ...................... ...................... .................... ................700 ................. 003...............


681690 MLOA Athena Collar 542-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/15/2016 07/15/2019 .........307 .........434,651 3242.61.......... ............(1,173) ........................ ........................ .................(292) ... .................(292) ..............881 ...................... ...................... .................... .............1,171 ................. 003...............

681705 MLOA Athena Collar 543-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 07/15/2016 07/15/2019 .........253 .........357,948 2161.74.......... ...........59,294 ........................ ........................ ...........170,788 ... ...........170,788 .......111,493 ...................... ...................... .................... ................964 ................. 003...............

681706 MLOA Athena Collar 543-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 07/15/2016 07/15/2019 .........253 .........357,948 3134.52.......... ............(1,639) ........................ ........................ .................(692) ... .................(692) ..............947 ...................... ...................... .................... ................964 ................. 003...............

681707 MLOA Athena Collar 544-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 07/15/2016 07/15/2019 .........347 .........983,375 2161.74.......... ...........81,448 ........................ ........................ ...........234,599 ... ...........234,599 .......153,150 ...................... ...................... .................... .............2,650 ................. 003...............

685782 MLOA Athena Collar 546-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 ...........60 ...........85,235 2178.15.......... ...........14,495 ........................ ........................ .............39,897 ... .............39,897 .........25,402 ...................... ...................... .................... ................260 ................. 003...............

685783 MLOA Athena Collar 546-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 ...........60 ...........85,235 3267.23.......... ...............(348) ........................ ........................ ...................(93) ... ...................(93) ..............256 ...................... ...................... .................... ................260 ................. 003...............


685796 MLOA Athena Collar 547-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 .........394 .........558,903 3158.32.......... ............(3,659) ........................ ........................ ..............(1,536) ... ..............(1,536) ...........2,123 ...................... ...................... .................... .............1,706 ................. 003...............

685797 MLOA Athena Collar 548-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 .........363 ......1,028,017 2178.15.......... ...........87,413 ........................ ........................ ...........240,600 ... ...........240,600 .......153,187 ...................... ...................... .................... .............3,138 ................. 003...............


685799 MLOA Athena Collar 549-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 .........164 .........232,931 3049.41.......... ............(2,409) ........................ ........................ ..............(2,075) ... ..............(2,075) ..............335 ...................... ...................... .................... ................711 ................. 003...............

685800 MLOA Athena Collar 550-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 .........148 .........210,158 2178.15.......... ...........35,740 ........................ ........................ .............98,372 ... .............98,372 .........62,632 ...................... ...................... .................... ................641 ................. 003...............

685801 MLOA Athena Collar 550-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/16/2016 08/14/2019 .........148 .........210,158 3267.23.......... ...............(859) ........................ ........................ .................(228) ... .................(228) ..............631 ...................... ...................... .................... ................641 ................. 003...............

694214 MLOA Athena Collar 566-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 09/15/2016 09/16/2019 .........664 ......1,881,010 2147.26.......... .........159,744 ........................ ........................ ...........462,149 ... ...........462,149 .......302,406 ...................... ...................... .................... .............6,400 ................. 003...............



QE06.1


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




Type(s) ofRisk(s)



TradeDate


Number ofContracts

NotionalAmount


Received(Paid)


Premium(Received)

Paid


Premium(Received)

PaidCurrent Year


Code Fair Value


(Decrease)


CurrentYear's



Value ofHedged



Entity


end (b)

694242 MLOA Athena Collar 567-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/15/2016 09/16/2019 .........265 .........376,203 3113.53.......... ............(2,879) ........................ ........................ ..............(2,572) ... ..............(2,572) ..............307 ...................... ...................... .................... .............1,280 ................. 003...............


694244 MLOA Athena Collar 568-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/15/2016 09/16/2019 .........207 .........293,702 3006.16.......... ............(3,449) ........................ ........................ ..............(6,365) ... ..............(6,365) ..........(2,916) ...................... ...................... .................... ................999 ................. 003...............


694246 MLOA Athena Collar 569-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/15/2016 09/16/2019 .........228 .........323,402 3220.89.......... ............(1,593) ........................ ........................ .................(844) ... .................(844) ..............749 ...................... ...................... .................... .............1,100 ................. 003...............

699851 MLOA Athena Collar 584-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2016 10/14/2019 .........491 .........695,772 2126.50.......... .........116,897 ........................ ........................ ...........352,908 ... ...........352,908 .......236,012 ...................... ...................... .................... .............2,556 ................. 003...............

699852 MLOA Athena Collar 584-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2016 10/14/2019 .........491 .........695,772 2977.10.......... ............(6,953) ........................ ........................ ............(23,966) ... ............(23,966) ........(17,013) ...................... ...................... .................... .............2,556 ................. 003...............

699950 MLOA Athena Collar 592-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 10/17/2016 10/14/2019 .........400 .........567,146 2126.50.......... ...........93,925 ........................ ........................ ...........287,667 ... ...........287,667 .......193,742 ...................... ...................... .................... .............2,083 ................. 003...............

699951 MLOA Athena Collar 592-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 10/17/2016 10/14/2019 .........400 .........567,146 3083.43.......... ............(2,272) ........................ ........................ ..............(7,450) ... ..............(7,450) ..........(5,178) ...................... ...................... .................... .............2,083 ................. 003...............

699952 MLOA Athena Collar 593-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 10/17/2016 10/14/2019 .........376 ......1,064,983 2126.50.......... ...........88,186 ........................ ........................ ...........270,090 ... ...........270,090 .......181,904 ...................... ...................... .................... .............3,912 ................. 003...............

699953 MLOA Athena Collar 594-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 10/17/2016 10/14/2019 .........577 .........818,398 2126.50.......... .........135,535 ........................ ........................ ...........415,107 ... ...........415,107 .......279,572 ...................... ...................... .................... .............3,006 ................. 003...............

699954 MLOA Athena Collar 594-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 10/17/2016 10/14/2019 .........577 .........818,398 3189.75.......... ............(1,829) ........................ ........................ ..............(4,021) ... ..............(4,021) ..........(2,191) ...................... ...................... .................... .............3,006 ................. 003...............

706524 MLOA Athena Collar 604-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........422 .........598,627 2180.39.......... .........102,876 ........................ ........................ ...........283,945 ... ...........283,945 .......181,070 ...................... ...................... .................... .............2,366 ................. 003...............

706525 MLOA Athena Collar 604-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........422 .........598,627 3052.55.......... ............(4,329) ........................ ........................ ............(13,775) ... ............(13,775) ..........(9,446) ...................... ...................... .................... .............2,366 ................. 003...............

706536 MLOA Athena Collar 605-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........241 .........341,238 2180.39.......... ...........58,642 ........................ ........................ ...........161,859 ... ...........161,859 .......103,216 ...................... ...................... .................... .............1,348 ................. 003...............

706537 MLOA Athena Collar 605-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........241 .........341,238 2943.53.......... ............(4,305) ........................ ........................ ............(17,502) ... ............(17,502) ........(13,197) ...................... ...................... .................... .............1,348 ................. 003...............

706538 MLOA Athena Collar 606-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........211 .........298,339 2180.39.......... ...........51,270 ........................ ........................ ...........141,510 ... ...........141,510 .........90,240 ...................... ...................... .................... .............1,179 ................. 003...............

706539 MLOA Athena Collar 606-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/15/2016 11/14/2019 .........211 .........298,339 3161.57.......... ...............(918) ........................ ........................ ..............(2,659) ... ..............(2,659) ..........(1,741) ...................... ...................... .................... .............1,179 ................. 003...............

706744 MLOA Athena Collar 617-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 11/15/2016 11/14/2019 .........327 .........926,866 2180.39.......... ...........82,344 ........................ ........................ ...........219,819 ... ...........219,819 .......137,475 ...................... ...................... .................... .............3,663 ................. 003...............

716866 MLOA Athena Collar 624-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........279 .........394,706 2262.03.......... ...........74,957 ........................ ........................ ...........167,661 ... ...........167,661 .........92,705 ...................... ...................... .................... .............1,666 ................. 003...............

716867 MLOA Athena Collar 624-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........279 .........394,706 3279.94.......... ............(2,858) ........................ ........................ ..............(1,823) ... ..............(1,823) ...........1,036 ...................... ...................... .................... .............1,666 ................. 003...............

716868 MLOA Athena Collar 625-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........776 ......2,199,075 2262.03.......... .........208,844 ........................ ........................ ...........467,056 ... ...........467,056 .......258,212 ...................... ...................... .................... .............9,280 ................. 003...............

716869 MLOA Athena Collar 626-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........270 .........382,801 2262.03.......... ...........72,670 ........................ ........................ ...........162,604 ... ...........162,604 .........89,935 ...................... ...................... .................... .............1,615 ................. 003...............

716870 MLOA Athena Collar 626-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........270 .........382,801 3053.74.......... ............(7,689) ........................ ........................ ............(10,888) ... ............(10,888) ..........(3,199) ...................... ...................... .................... .............1,615 ................. 003...............

716871 MLOA Athena Collar 627-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........319 .........451,718 2262.03.......... ...........85,775 ........................ ........................ ...........191,879 ... ...........191,879 .......106,104 ...................... ...................... .................... .............1,906 ................. 003...............

716872 MLOA Athena Collar 627-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 12/15/2016 12/16/2019 .........319 .........451,718 3166.84.......... ............(5,599) ........................ ........................ ..............(5,185) ... ..............(5,185) ..............414 ...................... ...................... .................... .............1,906 ................. 003...............

722528 MLOA Athena Collar 646-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 01/18/2017 01/14/2020 .........267 .........378,645 2271.89.......... ...........70,537 ........................ ........................ ...........159,751 ... ...........159,751 .........89,213 ...................... ...................... .................... .............1,685 ................. 003...............

722529 MLOA Athena Collar 646-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 01/18/2017 01/14/2020 .........267 .........378,645 3180.65.......... ............(4,916) ........................ ........................ ..............(4,938) ... ..............(4,938) ...............(23) ...................... ...................... .................... .............1,685 ................. 003...............


722531 MLOA Athena Collar 648-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 01/18/2017 01/14/2020 .........419 .........593,855 2271.89.......... .........110,613 ........................ ........................ ...........250,548 ... ...........250,548 .......139,935 ...................... ...................... .................... .............2,642 ................. 003...............

722532 MLOA Athena Collar 648-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 01/18/2017 01/14/2020 .........419 .........593,855 3067.05.......... ..........(11,578) ........................ ........................ ............(18,063) ... ............(18,063) ..........(6,485) ...................... ...................... .................... .............2,642 ................. 003...............


722534 MLOA Athena Collar 649-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 01/18/2017 01/14/2020 .........239 .........338,099 3294.24.......... ............(2,897) ........................ ........................ ..............(1,856) ... ..............(1,856) ...........1,041 ...................... ...................... .................... .............1,504 ................. 003...............

727146 MLOA Athena Collar 661-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 02/15/2017 02/14/2020 .........306 .........867,482 2349.25.......... ...........80,916 ........................ ........................ ...........163,885 ... ...........163,885 .........82,969 ...................... ...................... .................... .............4,061 ................. 003...............




727210 MLOA Athena Collar 666-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 02/15/2017 02/14/2020 .........197 .........279,307 3171.49.......... ............(4,677) ........................ ........................ ..............(4,886) ... ..............(4,886) .............(209) ...................... ...................... .................... .............1,308 ................. 003...............

727211 MLOA Athena Collar 667-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 02/15/2017 02/14/2020 .........944 ......1,337,419 2349.25.......... .........248,696 ........................ ........................ ...........505,331 ... ...........505,331 .......256,635 ...................... ...................... .................... .............6,261 ................. 003...............

727212 MLOA Athena Collar 667-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 02/15/2017 02/14/2020 .........944 ......1,337,419 3406.41.......... ............(9,863) ........................ ........................ ..............(4,695) ... ..............(4,695) ...........5,168 ...................... ...................... .................... .............6,261 ................. 003...............

736528 MLOA Athena Collar 671-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 03/15/2017 03/16/2020 .........165 .........234,095 2385.26.......... ...........45,298 ........................ ........................ .............84,307 ... .............84,307 .........39,009 ...................... ...................... .................... .............1,148 ................. 003...............



QE06.2


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




Type(s) ofRisk(s)



TradeDate


Number ofContracts

NotionalAmount


Received(Paid)


Premium(Received)

Paid


Premium(Received)

PaidCurrent Year


Code Fair Value


(Decrease)


CurrentYear's



Value ofHedged



Entity


end (b)

736530 MLOA Athena Collar 672-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 03/15/2017 03/16/2020 .........123 .........174,680 2385.26.......... ...........33,831 ........................ ........................ .............62,909 ... .............62,909 .........29,079 ...................... ...................... .................... ................856 ................. 003...............

736531 MLOA Athena Collar 672-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 03/15/2017 03/16/2020 .........123 .........174,680 3220.10.......... ............(3,193) ........................ ........................ ..............(2,634) ... ..............(2,634) ..............558 ...................... ...................... .................... ................856 ................. 003...............


736533 MLOA Athena Collar 673-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 03/15/2017 03/16/2020 .........196 .........278,062 3458.63.......... ............(2,172) ........................ ........................ .................(903) ... .................(903) ...........1,269 ...................... ...................... .................... .............1,363 ................. 003...............

736730 MLOA Athena Collar 686-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 03/15/2017 03/16/2020 .........365 ......1,035,007 2385.26.......... .........101,106 ........................ ........................ ...........186,374 ... ...........186,374 .........85,268 ...................... ...................... .................... .............5,075 ................. 003...............


743900 MLOA Athena Collar 695-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 04/18/2017 04/14/2020 .........256 .........362,440 3279.07.......... ............(3,310) ........................ ........................ ..............(4,499) ... ..............(4,499) ..........(1,190) ...................... ...................... .................... .............1,849 ................. 003...............

743901 MLOA Athena Collar 696-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 04/18/2017 04/14/2020 .........803 ......2,275,082 2342.19.......... .........203,043 ........................ ........................ ...........442,893 ... ...........442,893 .......239,850 ...................... ...................... .................... ...........11,607 ................. 003...............

743902 MLOA Athena Collar 697-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 04/18/2017 04/14/2020 .........178 .........252,921 2342.19.......... ...........45,401 ........................ ........................ .............98,473 ... .............98,473 .........53,072 ...................... ...................... .................... .............1,290 ................. 003...............

743903 MLOA Athena Collar 697-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 04/18/2017 04/14/2020 .........178 .........252,921 3161.96.......... ............(3,601) ........................ ........................ ..............(6,710) ... ..............(6,710) ..........(3,109) ...................... ...................... .................... .............1,290 ................. 003...............


743905 MLOA Athena Collar 698-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 04/18/2017 04/14/2020 .........230 .........325,531 3396.18.......... ............(1,913) ........................ ........................ ..............(1,938) ... ..............(1,938) ...............(25) ...................... ...................... .................... .............1,661 ................. 003...............


749508 MLOA Athena Collar 717-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 05/16/2017 05/14/2020 .........221 .........313,468 3360.94.......... ............(3,780) ........................ ........................ ..............(2,917) ... ..............(2,917) ..............863 ...................... ...................... .................... .............1,661 ................. 003...............


749510 MLOA Athena Collar 718-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 05/16/2017 05/14/2020 .........102 .........144,632 2400.67.......... ...........26,563 ........................ ........................ .............51,800 ... .............51,800 .........25,238 ...................... ...................... .................... ................766 ................. 003...............

749511 MLOA Athena Collar 719-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 05/16/2017 05/14/2020 .........102 .........144,632 3240.90.......... ............(2,503) ........................ ........................ ..............(2,801) ... ..............(2,801) .............(298) ...................... ...................... .................... ................766 ................. 003...............



758272 MLOA Athena Collar 732-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2017 06/15/2020 .........497 ......1,408,776 2432.46.......... .........134,622 ........................ ........................ ...........242,178 ... ...........242,178 .......107,556 ...................... ...................... .................... .............7,751 ................. 003...............



758314 MLOA Athena Collar 734-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 06/15/2017 06/15/2020 .........401 .........568,637 2432.46.......... .........108,722 ........................ ........................ ...........195,505 ... ...........195,505 .........86,783 ...................... ...................... .................... .............3,129 ................. 003...............

758315 MLOA Athena Collar 734-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 06/15/2017 06/15/2020 .........401 .........568,637 3283.82.......... ..........(10,342) ........................ ........................ ............(10,367) ... ............(10,367) ...............(24) ...................... ...................... .................... .............3,129 ................. 003...............

758316 MLOA Athena Collar 735-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index CITI.................. E57ODZWZ7FF32TWEFA76... 06/15/2017 06/15/2020 .........442 .........625,733 2432.46.......... .........119,434 ........................ ........................ ...........215,136 ... ...........215,136 .........95,701 ...................... ...................... .................... .............3,443 ................. 003...............


764219 MLOA Athena Collar 745-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 07/17/2017 07/14/2020 ......1,252 ......1,775,000 2459.14.......... .........448,647 ........................ ........................ ...........590,314 ... ...........590,314 .......141,667 ...................... ...................... .................... ...........10,082 ................. 003...............

764220 MLOA Athena Collar 745-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 07/17/2017 07/14/2020 ......1,252 ......1,775,000 3565.76.......... ........(125,247) ........................ ........................ ..............(8,908) ... ..............(8,908) .......116,339 ...................... ...................... .................... ...........10,082 ................. 003...............

764270 MLOA Athena Collar 756-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/17/2017 07/14/2020 .........235 .........332,525 2459.14.......... ...........62,651 ........................ ........................ ...........110,588 ... ...........110,588 .........47,938 ...................... ...................... .................... .............1,889 ................. 003...............

764271 MLOA Athena Collar 756-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/17/2017 07/14/2020 .........235 .........332,525 3442.80.......... ............(3,156) ........................ ........................ ..............(3,000) ... ..............(3,000) ..............156 ...................... ...................... .................... .............1,889 ................. 003...............

764272 MLOA Athena Collar 757-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/17/2017 07/14/2020 .........148 .........418,394 2459.14.......... ...........39,415 ........................ ........................ .............69,573 ... .............69,573 .........30,158 ...................... ...................... .................... .............2,376 ................. 003...............


764274 MLOA Athena Collar 758-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 07/17/2017 07/14/2020 .........153 .........216,688 3319.84.......... ............(3,245) ........................ ........................ ..............(3,781) ... ..............(3,781) .............(536) ...................... ...................... .................... .............1,231 ................. 003...............

768997 MLOA Athena Collar 778-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 08/15/2017 08/14/2020 .........149 .........210,457 2464.61.......... ...........38,613 ........................ ........................ .............70,187 ... .............70,187 .........31,574 ...................... ...................... .................... .............1,234 ................. 003...............

768998 MLOA Athena Collar 778-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 08/15/2017 08/14/2020 .........149 .........210,457 3450.45.......... ............(1,427) ........................ ........................ ..............(2,233) ... ..............(2,233) .............(805) ...................... ...................... .................... .............1,234 ................. 003...............

768999 MLOA Athena Collar 779-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WCMB............. 851WYGNLUQLFZBSYGB56.. 08/15/2017 08/14/2020 .........217 .........614,121 2464.61.......... ...........56,337 ........................ ........................ ...........102,405 ... ...........102,405 .........46,068 ...................... ...................... .................... .............3,601 ................. 003...............

769002 MLOA Athena Collar 780-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 08/15/2017 08/14/2020 .........328 .........465,192 2464.61.......... ...........81,950 ........................ ........................ ...........155,141 ... ...........155,141 .........73,191 ...................... ...................... .................... .............2,728 ................. 003...............

769003 MLOA Athena Collar 780-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 08/15/2017 08/14/2020 .........328 .........465,192 3327.22.......... ............(4,215) ........................ ........................ ..............(9,170) ... ..............(9,170) ..........(4,955) ...................... ...................... .................... .............2,728 ................. 003...............

769004 MLOA Athena Collar 781-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 08/15/2017 08/14/2020 .........767 ......1,086,788 2464.61.......... .........191,453 ........................ ........................ ...........362,444 ... ...........362,444 .......170,991 ...................... ...................... .................... .............6,373 ................. 003...............

769005 MLOA Athena Collar 781-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 08/15/2017 08/14/2020 .........767 ......1,086,788 3573.68.......... ............(1,626) ........................ ........................ ..............(6,540) ... ..............(6,540) ..........(4,914) ...................... ...................... .................... .............6,373 ................. 003...............

774674 MLOA Athena Collar 782-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 09/15/2017 09/14/2020 ...........94 .........133,771 2500.23.......... ...........25,669 ........................ ........................ .............42,571 ... .............42,571 .........16,902 ...................... ...................... .................... ................808 ................. 003...............


QE06.3


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




Type(s) ofRisk(s)



TradeDate


Number ofContracts

NotionalAmount


Received(Paid)


Premium(Received)

Paid


Premium(Received)

PaidCurrent Year


Code Fair Value


(Decrease)


CurrentYear's



Value ofHedged



Entity


end (b)

774675 MLOA Athena Collar 782-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 09/15/2017 09/14/2020 ...........94 .........133,771 3500.32.......... ............(1,338) ........................ ........................ ..............(1,354) ... ..............(1,354) ...............(16) ...................... ...................... .................... ................808 ................. 003...............

774743 MLOA Athena Collar 793-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 09/15/2017 09/14/2020 .........204 .........579,298 2500.23.......... ...........54,866 ........................ ........................ .............92,178 ... .............92,178 .........37,312 ...................... ...................... .................... .............3,500 ................. 003...............

774744 MLOA Athena Collar 794-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 09/15/2017 09/14/2020 .........334 .........473,301 2500.23.......... ...........88,091 ........................ ........................ ...........150,623 ... ...........150,623 .........62,532 ...................... ...................... .................... .............2,860 ................. 003...............


774746 MLOA Athena Collar 795-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 09/15/2017 09/14/2020 .........648 .........918,827 2500.23.......... .........171,013 ........................ ........................ ...........292,407 ... ...........292,407 .......121,395 ...................... ...................... .................... .............5,552 ................. 003...............


779828 MLOA Athena Collar 806-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2017 10/14/2020 ...........91 .........128,466 2559.36.......... ...........25,622 ........................ ........................ .............37,364 ... .............37,364 .........11,742 ...................... ...................... .................... ................798 ................. 003...............

779829 MLOA Athena Collar 806-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2017 10/14/2020 ...........91 .........128,466 3583.10.......... ............(1,223) ........................ ........................ ..............(1,074) ... ..............(1,074) ..............149 ...................... ...................... .................... ................798 ................. 003...............



779832 MLOA Athena Collar 808-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2017 10/14/2020 .........782 ......1,108,018 3455.14.......... ..........(16,828) ........................ ........................ ............(16,198) ... ............(16,198) ..............630 ...................... ...................... .................... .............6,881 ................. 003...............


779834 MLOA Athena Collar 809-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 10/17/2017 10/14/2020 .........783 ......1,110,233 3711.07.......... ............(6,617) ........................ ........................ ..............(5,548) ... ..............(5,548) ...........1,069 ...................... ...................... .................... .............6,894 ................. 003...............

783900 MLOA Athena Collar 820-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index GSFM............... VF1AUT09OCSW5Y7OE568... 11/15/2017 11/16/2020 .........127 .........359,187 2564.62.......... ...........37,852 ........................ ........................ .............52,527 ... .............52,527 .........14,674 ...................... ...................... .................... .............2,295 ................. 003...............

783976 MLOA Athena Collar 828-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 11/15/2017 11/16/2020 .........352 .........499,547 2564.62.......... .........103,417 ........................ ........................ ...........146,106 ... ...........146,106 .........42,689 ...................... ...................... .................... .............3,192 ................. 003...............

783977 MLOA Athena Collar 828-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 11/15/2017 11/16/2020 .........352 .........499,547 3462.24.......... ............(8,262) ........................ ........................ ..............(8,327) ... ..............(8,327) ...............(65) ...................... ...................... .................... .............3,192 ................. 003...............

783978 MLOA Athena Collar 829-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 11/15/2017 11/16/2020 .........527 .........746,558 2564.62.......... .........154,553 ........................ ........................ ...........218,350 ... ...........218,350 .........63,797 ...................... ...................... .................... .............4,770 ................. 003...............

783979 MLOA Athena Collar 829-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 11/15/2017 11/16/2020 .........527 .........746,558 3718.70.......... ............(3,514) ........................ ........................ ..............(4,351) ... ..............(4,351) .............(837) ...................... ...................... .................... .............4,770 ................. 003...............

784026 MLOA Athena Collar 832-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 11/15/2017 11/16/2020 .........119 .........167,989 2564.62.......... ...........35,811 ........................ ........................ .............49,133 ... .............49,133 .........13,322 ...................... ...................... .................... .............1,073 ................. 003...............

784027 MLOA Athena Collar 832-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 11/15/2017 11/16/2020 .........119 .........167,989 3590.47.......... ............(2,371) ........................ ........................ ..............(1,622) ... ..............(1,622) ..............749 ...................... ...................... .................... .............1,073 ................. 003...............

793102 MLOA Athena Collar 839-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 12/15/2017 12/14/2020 .........128 .........362,270 2675.81.......... ...........39,949 ........................ ........................ .............43,690 ... .............43,690 ...........3,741 ...................... ...................... .................... .............2,368 ................. 003...............

793155 MLOA Athena Collar 840-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 12/15/2017 12/14/2020 ...........65 ...........92,156 2675.81.......... ...........20,528 ........................ ........................ .............22,228 ... .............22,228 ...........1,701 ...................... ...................... .................... ................602 ................. 003...............

793156 MLOA Athena Collar 840-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 12/15/2017 12/14/2020 ...........65 ...........92,156 3746.14.......... ............(1,301) ........................ ........................ .................(560) ... .................(560) ..............741 ...................... ...................... .................... ................602 ................. 003...............

793160 MLOA Athena Collar 841-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 12/15/2017 12/14/2020 .........563 .........798,159 2675.81.......... .........177,422 ........................ ........................ ...........192,518 ... ...........192,518 .........15,096 ...................... ...................... .................... .............5,218 ................. 003...............

793161 MLOA Athena Collar 841-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 12/15/2017 12/14/2020 .........563 .........798,159 3879.93.......... ............(7,885) ........................ ........................ ..............(3,044) ... ..............(3,044) ...........4,841 ...................... ...................... .................... .............5,218 ................. 003...............

793197 MLOA Athena Collar 845-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 12/15/2017 12/14/2020 .........742 ......1,051,323 2675.81.......... .........229,070 ........................ ........................ ...........253,582 ... ...........253,582 .........24,512 ...................... ...................... .................... .............6,873 ................. 003...............

793198 MLOA Athena Collar 845-S&P500.......... LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 12/15/2017 12/14/2020 .........742 ......1,051,323 3612.34.......... ..........(17,307) ........................ ........................ ............(10,648) ... ............(10,648) ...........6,659 ...................... ...................... .................... .............6,873 ................. 003...............

822641 MLOA MSO Collar 96-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/20/2018 04/18/2019 ......1,218 - ................... 2002.61.......... ..........(40,663) ........................ ........................ .................(102) ... .................(102) .........40,561 ...................... ...................... .................... ........................ ................. 003...............

822642 MLOA MSO Collar 96-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/20/2018 04/18/2019 ......1,218 - ................... 2670.14.......... .........215,348 ........................ ........................ ...........205,024 ... ...........205,024 ........(10,324) ...................... ...................... .................... ........................ ................. 003...............

822643 MLOA MSO Collar 96-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 04/20/2018 04/18/2019 ......1,218 ......3,453,116 2948.37.......... ..........(55,269) ........................ ........................ ..............(1,210) ... ..............(1,210) .........54,059 ...................... ...................... .................... .............3,834 ................. 003...............

828133 MLOA MSO Collar 97-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 05/18/2018 05/17/2019 .........962 - ................... 2034.73.......... ........................ ........................ ........................ .................(572) ... .................(572) .............(572) ...................... ...................... .................... ........................ ................. 003...............

828134 MLOA MSO Collar 97-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 05/18/2018 05/17/2019 .........962 - ................... 2712.97.......... .........100,236 ........................ ........................ ...........137,203 ... ...........137,203 .........36,967 ...................... ...................... .................... ........................ ................. 003...............

828135 MLOA MSO Collar 97-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 05/18/2018 05/17/2019 .........962 ......2,727,866 3004.07.......... ........................ ........................ ........................ ..............(2,416) ... ..............(2,416) ..........(2,416) ...................... ...................... .................... .............4,894 ................. 003...............

834226 MLOA MSO Collar 98-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2018 06/21/2019 ......1,620 - ................... 2084.75.......... ..........(48,262) ........................ ........................ ..............(2,648) ... ..............(2,648) .........45,614 ...................... ...................... .................... ........................ ................. 003...............

834227 MLOA MSO Collar 98-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2018 06/21/2019 ......1,620 - ................... 2779.66.......... .........279,620 ........................ ........................ ...........177,016 ... ...........177,016 ......(102,604) ...................... ...................... .................... ........................ ................. 003...............

834228 MLOA MSO Collar 98-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 06/15/2018 06/21/2019 ......1,620 ......4,590,659 3069.30.......... ..........(61,497) ........................ ........................ ..............(5,445) ... ..............(5,445) .........56,052 ...................... ...................... .................... ...........10,879 ................. 003...............

842108 MLOA MSO Collar 99-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 07/20/2018 07/19/2019 .........883 ......2,502,758 2101.37.......... ..........(25,482) ........................ ........................ ..............(2,615) ... ..............(2,615) .........22,867 ...................... ...................... .................... .............6,870 ................. 003...............

842109 MLOA MSO Collar 99-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 07/20/2018 07/19/2019 .........883 - ................... 2801.83.......... .........149,677 ........................ ........................ .............95,510 ... .............95,510 ........(54,167) ...................... ...................... .................... ........................ ................. 003...............

842110 MLOA MSO Collar 99-S&P500................ LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 07/20/2018 07/19/2019 .........883 - ................... 3077.81.......... ..........(33,869) ........................ ........................ ..............(4,837) ... ..............(4,837) .........29,032 ...................... ...................... .................... ........................ ................. 003...............

846597 MLOA MSO Collar 100-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/17/2018 08/16/2019 .........820 - ................... 2137.60.......... ..........(23,837) ........................ ........................ ..............(4,870) ... ..............(4,870) .........18,967 ...................... ...................... .................... ........................ ................. 003...............

846598 MLOA MSO Collar 100-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/17/2018 08/16/2019 .........820 - ................... 2850.13.......... .........142,323 ........................ ........................ .............73,547 ... .............73,547 ........(68,777) ...................... ...................... .................... ........................ ................. 003...............

846599 MLOA MSO Collar 100-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 08/17/2018 08/16/2019 .........820 ......2,324,103 3125.74.......... ..........(32,952) ........................ ........................ ..............(4,556) ... ..............(4,556) .........28,396 ...................... ...................... .................... .............7,145 ................. 003...............


QE06.4


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




Type(s) ofRisk(s)



TradeDate


Number ofContracts

NotionalAmount


Received(Paid)


Premium(Received)

Paid


Premium(Received)

PaidCurrent Year


Code Fair Value


(Decrease)


CurrentYear's



Value ofHedged



Entity


end (b)

853633 MLOA MSO Collar 101-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/21/2018 09/20/2019 ......1,522 - ................... 3224.10.......... ..........(55,884) ........................ ........................ ..............(5,770) ... ..............(5,770) .........50,114 ...................... ...................... .................... ........................ ................. 003...............

853634 MLOA MSO Collar 101-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/21/2018 09/20/2019 ......1,522 - ................... 2929.67.......... .........269,384 ........................ ........................ .............93,580 ... .............93,580 ......(175,804) ...................... ...................... .................... ........................ ................. 003...............

853635 MLOA MSO Collar 101-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 09/21/2018 09/20/2019 ......1,522 ......4,314,966 2197.25.......... ..........(41,478) ........................ ........................ ............(18,721) ... ............(18,721) .........22,757 ...................... ...................... .................... ...........14,853 ................. 003...............

862094 MLOA MSO Collar 102-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 10/19/2018 10/18/2019 .........901 - ................... 3064.76.......... ..........(47,301) ........................ ........................ ............(20,967) ... ............(20,967) .........26,333 ...................... ...................... .................... ........................ ................. 003...............

862095 MLOA MSO Collar 102-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 10/19/2018 10/18/2019 .........901 - ................... 2767.78.......... .........178,043 ........................ ........................ ...........151,301 ... ...........151,301 ........(26,743) ...................... ...................... .................... ........................ ................. 003...............

862096 MLOA MSO Collar 102-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index DBL.................. 7LTWFZYICNSX8D621K86..... 10/19/2018 10/18/2019 .........901 ......2,555,053 2075.84.......... ..........(32,864) ........................ ........................ ..............(8,660) ... ..............(8,660) .........24,204 ...................... ...................... .................... .............9,480 ................. 003...............

868597 MLOA MSO Collar 103-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/16/2018 11/15/2019 ......1,108 - ................... 3026.31.......... ..........(63,399) ........................ ........................ ............(44,964) ... ............(44,964) .........18,435 ...................... ...................... .................... ........................ ................. 003...............

868598 MLOA MSO Collar 103-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/16/2018 11/15/2019 ......1,108 - ................... 2736.27.......... .........218,911 ........................ ........................ ...........220,919 ... ...........220,919 ...........2,008 ...................... ...................... .................... ........................ ................. 003...............

868599 MLOA MSO Collar 103-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 11/16/2018 11/15/2019 ......1,108 ......3,140,736 2052.20.......... ..........(39,113) ........................ ........................ ............(12,267) ... ............(12,267) .........26,846 ...................... ...................... .................... ...........12,439 ................. 003...............

876602 MLOA MSO Collar 104-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 12/21/2018 12/20/2019 ......1,342 - ................... 2702.26.......... ........................ ........................ ........................ ..........(314,828) ... ..........(314,828) ......(314,828) ...................... ...................... .................... ........................ ................. 003...............

876603 MLOA MSO Collar 104-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 12/21/2018 12/20/2019 ......1,342 - ................... 2416.62.......... .........115,681 ........................ ........................ ...........625,274 ... ...........625,274 .......509,593 ...................... ...................... .................... ........................ ................. 003...............

876604 MLOA MSO Collar 104-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index CDC................. KX1WK48MPD4Y2NCUIZ63... 12/21/2018 12/20/2019 ......1,342 ......3,804,816 1812.47.......... ........................ ........................ ........................ ..............(7,048) ... ..............(7,048) ..........(7,048) ...................... ...................... .................... ...........16,179 ................. 003...............

883013 MLOA MSO Collar 105-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 01/18/2019 01/17/2020 ......1,242 - ................... 2003.03.......... ........................ ..........(39,140) ........................ ............(17,546) ... ............(17,546) .........21,594 ...................... ...................... .................... ........................ ................. 003...............

883014 MLOA MSO Collar 105-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 01/18/2019 01/17/2020 ......1,242 - ................... 2670.71.......... ........................ .........228,541 ........................ ...........330,843 ... ...........330,843 .......102,302 ...................... ...................... .................... ........................ ................. 003...............

883015 MLOA MSO Collar 105-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index BBI................... G5GSEF7VJP5I7OUK5573..... 01/18/2019 01/17/2020 ......1,242 ......3,520,302 2931.10.......... ........................ ..........(73,306) ........................ ..........(122,000) ... ..........(122,000) ........(48,694) ...................... ...................... .................... ...........15,743 ................. 003...............

887226 MLOA MSO Collar 106-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 02/15/2019 02/21/2020 ......1,340 - ................... 2081.70.......... ........................ ..........(38,392) ........................ ............(30,297) ... ............(30,297) ...........8,095 ...................... ...................... .................... ........................ ................. 003...............

887227 MLOA MSO Collar 106-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 02/15/2019 02/21/2020 ......1,340 - ................... 2775.60.......... ........................ .........240,872 ........................ ...........270,325 ... ...........270,325 .........29,453 ...................... ...................... .................... ........................ ................. 003...............

887228 MLOA MSO Collar 106-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index WMST.............. 4PQUHN3JPFGFNF3BB653... 02/15/2019 02/21/2020 ......1,340 ......3,796,764 3040.95.......... ........................ ..........(73,800) ........................ ............(81,132) ... ............(81,132) ..........(7,332) ...................... ...................... .................... ...........17,968 ................. 003...............

893128 MLOA MSO Collar 107-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 03/15/2019 03/20/2020 .........913 - ................... 2116.86.......... ........................ ..........(24,104) ........................ ............(25,997) ... ............(25,997) ..........(1,892) ...................... ...................... .................... ........................ ................. 003...............

893129 MLOA MSO Collar 107-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 03/15/2019 03/20/2020 .........913 - ................... 2822.48.......... ........................ .........160,455 ........................ ...........163,768 ... ...........163,768 ...........3,313 ...................... ...................... .................... ........................ ................. 003...............

893130 MLOA MSO Collar 107-S&P500.............. LIFE HEDGE.......................................................... N/A.........Equity/Index HSBU............... 1IE8VN30JCEQV1H4R804...... 03/15/2019 03/20/2020 .........913 ......2,588,887 3073.68.......... ........................ ..........(48,699) ........................ ............(51,268) ... ............(51,268) ..........(2,569) ...................... ...................... .................... ...........12,766 ................. 003...............

0129999999. Total-Purchased Options-Hedging Other-Collars................................................................................................... ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

0149999999. Total-Purchased Options-Hedging Other................................................................................................................ ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

0409999999. Total-Purchased Options-Collars............................................................................................................................. ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

0429999999. Total-Purchased Options.......................................................................................................................................... ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

1409999999. Total-Hedging Other................................................................................................................................................. ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

1449999999. TOTAL....................................................................................................................................................................... ................................................................................ ................................................................................................................. ......8,788,553 .........332,426 ....................0 ......19,476,491 XX ......19,476,491 ..10,355,512 ..................0 ..................0 ................0 .........514,517 XXX XXX

(b) Code Financial or Economic Impact of the Hedge at the End of the Reporting Period

003 Hedges equity or interest rate risk of life products


QE07

SCHEDULE DB - PART B - SECTION 1Futures Contracts Open as of the Current Statement Date

1 2 3 4 5 6 7 8 9 10 11 12 13 14 Highly Effective Hedges 18 19 20 21 2215 16 17

TickerSymbol

Numberof

Contracts

NotionalAmount Description

Description ofItem(s)

Hedged,Used forIncome

Generation orReplicated

Schedule /ExhibitIdentifier

Type(s) ofRisk(s)

(a)

Date ofMaturity orExpiration Exchange

TradeDate

TransactionPrice

ReportingDate Price Fair Value

Book/AdjustedCarrying Value

CumulativeVariationMargin

DeferredVariationMargin

Change inVariation

Margin Gain(Loss) Used toAdjust Basisof Hedged

Item

CumulativeVariation

Margin for AllOther Hedges

Change inVariation

Margin Gain(Loss)

Recognized inCurrent Year

PotentialExposure


end (b)Value of One

(1) PointLong FuturesHedging OtherRTYM9... ...50 ...3,859,500 891839 CME NEW MINI RUSSELL FUT... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/11/2019 ..1,530.6000 ..1,543.8000 ............9,000 .......................... ...................... ...................... ...................... ..........33,000 ............33,000 ........177,500 ...................3 ...................50RTYM9... ...63 ...4,862,970 891840 CME NEW MINI RUSSELL FUT... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/11/2019 ..1,530.6500 ..1,543.8000 ..........11,340 .......................... ...................... ...................... ...................... ..........41,423 ............41,423 ........223,650 ...................3 ...................50MFSM9.. ...62 ...5,785,840 891837 NYL EMINI MSCI EAFE............... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 NYB 9R7GPTSO7KV3UQJZQ078 03/11/2019 ..1,834.9000 ..1,866.4000 ..........19,530 .......................... ...................... ...................... ...................... ..........97,650 ............97,650 ........279,000 ...................3 ...................50MFSM9.. ...18 ...1,679,760 893599 NYL EMINI MSCI EAFE............... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 NYB 9R7GPTSO7KV3UQJZQ078 03/19/2019 ..1,890.2000 ..1,866.4000 ............5,670 .......................... ...................... ...................... ...................... .........(21,420) ...........(21,420) ..........81,000 ...................3 ...................50ESM9..... .400 .56,756,000 891835 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/11/2019 ..2,752.0500 ..2,837.8000 ........321,894 .......................... ...................... ...................... ...................... .....1,715,000 .......1,715,000 .....2,400,000 ...................3 ...................50ESM9..... .710 100,741,900 892347 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/13/2019 ..2,797.1500 ..2,837.8000 ........571,361 .......................... ...................... ...................... ...................... .....1,443,075 .......1,443,075 .....4,260,000 ...................3 ...................50ESM9..... .710 100,741,900 892348 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/13/2019 ..2,797.2000 ..2,837.8000 ........571,361 .......................... ...................... ...................... ...................... .....1,441,300 .......1,441,300 .....4,260,000 ...................3 ...................50ESM9..... ...85 .12,060,650 892349 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/13/2019 ..2,815.7500 ..2,837.8000 ..........68,402 .......................... ...................... ...................... ...................... ..........93,713 ............93,713 ........510,000 ...................3 ...................50ESM9..... .778 110,390,420 892643 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/14/2019 ..2,819.5000 ..2,837.8000 ........626,083 .......................... ...................... ...................... ...................... ........711,870 ..........711,870 .....4,668,000 ...................3 ...................50ESM9..... .157 .22,276,730 894229 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/21/2019 ..2,859.7500 ..2,837.8000 ........126,343 .......................... ...................... ...................... ...................... .......(172,308) .........(172,308) ........942,000 ...................3 ...................50ESM9..... .166 .23,553,740 895423 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/26/2019 ..2,823.7500 ..2,837.8000 ........133,586 .......................... ...................... ...................... ...................... ........116,615 ..........116,615 ........996,000 ...................3 ...................50ESM9..... ...83 .11,776,870 895877 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/28/2019 ..2,820.0000 ..2,837.8000 ..........66,793 .......................... ...................... ...................... ...................... ..........73,870 ............73,870 ........498,000 ...................3 ...................50ESM9..... ...12 ...1,702,680 896228 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,836.0000 ..2,837.8000 ............9,657 .......................... ...................... ...................... ...................... ............1,080 ..............1,080 ..........72,000 ...................3 ...................50ESM9..... ...11 ...1,560,790 896229 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,836.5000 ..2,837.8000 ............8,852 .......................... ...................... ...................... ...................... ...............715 .................715 ..........66,000 ...................3 ...................50ESM9..... ...22 ...3,121,580 896230 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,837.0000 ..2,837.8000 ..........17,704 .......................... ...................... ...................... ...................... ...............880 .................880 ........132,000 ...................3 ...................50ESM9..... ...24 ...3,405,360 896231 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,837.2500 ..2,837.8000 ..........19,314 .......................... ...................... ...................... ...................... ...............660 .................660 ........144,000 ...................3 ...................50ESM9..... ...12 ...1,702,680 896232 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,837.5000 ..2,837.8000 ............9,657 .......................... ...................... ...................... ...................... ...............180 .................180 ..........72,000 ...................3 ...................50ESM9..... ...11 ...1,560,790 896233 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,837.7500 ..2,837.8000 ............8,852 .......................... ...................... ...................... ...................... .................28 ...................28 ..........66,000 ...................3 ...................50ESM9..... ...23 ...3,263,470 896234 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,838.0000 ..2,837.8000 ..........18,509 .......................... ...................... ...................... ...................... ..............(230) ................(230) ........138,000 ...................3 ...................50ESM9..... ...11 ...1,560,790 896235 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,838.5000 ..2,837.8000 ............8,852 .......................... ...................... ...................... ...................... ..............(385) ................(385) ..........66,000 ...................3 ...................50ESM9..... ...12 ...1,702,680 896236 S&P 500 EMINI FUT..................... LIFE HEDGE N/A EQUITY/INDEX 06/21/2019 CME 9R7GPTSO7KV3UQJZQ078 03/29/2019 ..2,838.7500 ..2,837.8000 ............9,657 .......................... ...................... ...................... ...................... ..............(570) ................(570) ..........72,000 ...................3 ...................50.............. ........ .................... Cash Margin.............................................. ..................... ..... ........................ ................ ....... ........................................... ................ .................... .................... ...................... .......19,295,150 ...................... ...................... ...................... ...................... ........................ ...................... ...................... ........................12829999999. Total-Long Futures-Hedging Other....................................... ............................................................................ ...................................................................................................................... .....2,642,416 .......19,295,150 ...................0 ...................0 ...................0 .....5,576,145 .......5,576,145 ....20,123,150 XXX XXX1329999999. Total-Long Futures................................................................ ............................................................................ ...................................................................................................................... .....2,642,416 .......19,295,150 ...................0 ...................0 ...................0 .....5,576,145 .......5,576,145 ....20,123,150 XXX XXX1409999999. Total-Hedging Other.............................................................. ............................................................................ ...................................................................................................................... .....2,642,416 .......19,295,150 ...................0 ...................0 ...................0 .....5,576,145 .......5,576,145 ....20,123,150 XXX XXX1449999999. TOTAL................................................................................... ............................................................................ ...................................................................................................................... .....2,642,416 .......19,295,150 ...................0 ...................0 ...................0 .....5,576,145 .......5,576,145 ....20,123,150 XXX XXX


QE07.1

SCHEDULE DB - PART B - SECTION 1Futures Contracts Open as of the Current Statement Date

1 2 3 4 5 6 7 8 9 10 11 12 13 14 Highly Effective Hedges 18 19 20 21 2215 16 17

TickerSymbol

Numberof

Contracts

NotionalAmount Description

Description ofItem(s)

Hedged,Used forIncome

Generation orReplicated

Schedule /ExhibitIdentifier

Type(s) ofRisk(s)

(a)

Date ofMaturity orExpiration Exchange

TradeDate

TransactionPrice

ReportingDate Price Fair Value

Book/AdjustedCarrying Value

CumulativeVariationMargin

DeferredVariationMargin

Change inVariation

Margin Gain(Loss) Used toAdjust Basisof Hedged

Item

CumulativeVariation

Margin for AllOther Hedges

Change inVariation

Margin Gain(Loss)

Recognized inCurrent Year

PotentialExposure


end (b)Value of One

(1) Point

Broker Name

BeginningCash

Balance

CumulativeCash

Change

EndingCash

BalanceMorgan Stanley .....6,276,000 .....13,019,150 ....19,295,150Total Net Cash Deposits................................................................................................................................. ...................................................................................................................... .............................................................................................................................. .....6,276,000 .....13,019,150 ....19,295,150

(a) Code Description of Hedged Risk(s)003 Hedges equity or interest rate risk of life products


QE08

SCHEDULE DB - PART D - SECTION 1Counterparty Exposure for Derivative Instruments Open as of Current Statement Date

1 2 3 4 Book Adjusted Carrying Value Fair Value 11 125 6 7 8 9 10

Description of Exchange, Counterparty or Central Clearinghouse

MasterAgreement

(Y or N)

CreditSupportAnnex

(Y or N)Fair Value of Acceptable

Collateral

Contracts withBook/Adjusted Carrying

Value > 0

Contracts withBook/Adjusted Carrying

Value < 0Exposure Netof Collateral

Contracts withFair Value > 0

Contracts withFair Value < 0

Exposure Netof Collateral

PotentialExposure

Off-BalanceSheet Exposure

Exchange Traded Derivatives0199999999. Aggregate Sum of Exchange Traded........................................................................ ............................................. XXX XXX XXX ...................19,295,150 ..................................... ...................19,295,150 .....................2,642,416 ..................................... ..................................... ...................20,123,150 .....................................NAIC 1 DesignationBarclays Bank PLC......................................................................................................................... G5GSEF7VJP5I7OUK5573... Y................ Y................ .....................2,360,000 .....................2,269,934 ..................................... ..................................0 .....................2,269,934 ..................................... ..................................0 ..........................52,755 ..................................0Citibank, N.A.................................................................................................................................. E57ODZWZ7FF32TWEFA76 Y................ Y................ .....................3,349,000 .....................3,490,097 ..................................... ........................141,097 .....................3,490,097 ..................................... ........................141,097 ..........................94,184 ..........................94,184Commerzbank AG.......................................................................................................................... 851WYGNLUQLFZBSYGB56 Y................ Y................ .....................2,060,000 .....................2,417,043 ..................................... ........................357,043 .....................2,417,043 ..................................... ........................357,043 ..........................30,546 ..........................30,546Deutsche Bank AG LONDON......................................................................................................... 7LTWFZYICNSX8D621K86.. Y................ Y................ .....................2,530,000 .....................2,606,309 ..................................... ..........................76,309 .....................2,606,309 ..................................... ..........................76,309 ..........................88,652 ..........................88,652Goldman Sachs Financial Markets L.P............................................................................................ VF1AUT09OCSW5Y7OE568 Y................ Y................ ........................990,000 .....................1,065,048 ..................................... ..........................75,048 .....................1,065,048 ..................................... ..........................75,048 ..........................23,566 ..........................23,566HSBC Bank USA, N.A.................................................................................................................... 1IE8VN30JCEQV1H4R804... Y................ Y................ .....................5,909,000 .....................6,191,489 ..................................... ........................282,489 .....................6,191,489 ..................................... ........................282,489 ........................151,822 ........................151,822ING Bank N.V................................................................................................................................. Z0MI2JT14K8OXYZWX446.. Y................ Y................ ..................................... ..................................... ..................................... ..................................0 ..................................... ..................................... ..................................0 ..................................... ..................................0Morgan Stanley & Co. International plc........................................................................................... 4PQUHN3JPFGFNF3BB653. Y................ Y................ ........................980,000 ........................998,956 ..................................... ..........................18,956 ........................998,956 ..................................... ..........................18,956 ..........................51,919 ..........................51,919NATIXIS SA.................................................................................................................................... KX1WK48MPD4Y2NCUIZ63. Y................ Y................ ........................250,000 ........................437,615 ..................................... ........................187,615 ........................437,615 ..................................... ........................187,615 ..........................21,074 ..........................21,074ROYAL BANK OF SCOTLAND GROUP PLC................................................................................. TGRS6DDUGRSXRUV0M661 Y................ Y................ ..................................... ..................................... ..................................... ..................................0 ..................................... ..................................... ..................................0 ..................................... ..................................00299999999. Total NAIC 1 Designation.................................................................................................................................................................................... ...................18,428,000 ...................19,476,491 ..................................0 .....................1,138,557 ...................19,476,491 ..................................0 .....................1,138,557 ........................514,517 ........................461,7620999999999. Gross Totals............................................................................................................. ....................................................................................... ...................18,428,000 ...................38,771,641 ..................................0 ...................20,433,707 ...................22,118,907 ..................................0 .....................1,138,557 ...................20,637,667 ........................461,7621. Offset per SSAP No. 64............................................................................................................. ................................................................................................................................ ..................................... .....................................2. Net after right of offset per SSAP No. 64.................................................................................... ................................................................................................................................ ...................38,771,641 ..................................0


QE09, QE10, QE11

Sch. DB - Pt. D - Sn. 2NONE

Sch. DL - Pt. 1NONE

Sch. DL - Pt. 2NONE


QE12

SCHEDULE E - PART 1 - CASH Month End Depository Balances

1 2 3 4 5 Book Balance at End of Each 9Month During Current Quarter

6 7 8

Depository Code Rate of Interest

Amount of InterestReceived DuringCurrent Quarter

Amount of InterestAccrued at Current

Statement Date First Month Second Month Third Month *

Open Depositories

BANK OF AMERICA.......................................... DALLAS, TX...................................................... ................... .................. ............................ ............................ ...........1,785,081 ..........(5,394,238) ...........2,747,653 XXX

BANK OF AMERICA.......................................... HARTFORD, CT................................................ ................... .................. ............................ ............................ ..........(4,293,819) ...........8,417,293 ..........(5,978,676) XXX

JP MORGAN CHASE........................................ NEW YORK, NY................................................ ................... .................. ............................ ............................ ...........2,994,666 ........(67,837,861) ...........3,005,361 XXX

MELLON BANK................................................. PITTSBURGH, PA............................................. ................... .................. ............................ ............................ ..............182,895 ..............257,342 ..............281,245 XXX

NORTHERN TRUST......................................... CHICAGO, IL..................................................... ................... .................. ............................ ............................ ..............200,000 ..............229,852 ..............200,000 XXX

0199999. Total Open Depositories........................................................................................................................... XXX XXX ..............................0 ..............................0 ...................868,823 .............(64,327,612) ...................255,583 XXX0399999. Total Cash on Deposit............................................................................................................................... XXX XXX ..............................0 ..............................0 ...................868,823 .............(64,327,612) ...................255,583 XXX0499999. Cash in Company's Office......................................................................................................................... XXX XXX XXX XXX ....................(500) - ....................... - ....................... XXX0599999. Total Cash................................................................................................................................................. XXX XXX ..............................0 ..............................0 ...................868,323 .............(64,327,612) ...................255,583 XXX


QE13

SCHEDULE E - PART 2 - CASH EQUIVALENTSShow Investments Owned End of Current Quarter

1 2 3 4 5 6 7 8 9

CUSIP Description Code Date Acquired Rate of Interest Maturity Date Book/Adjusted Carrying ValueAmount of Interest Due &

Accrued Amount Received During YearAll Other Money Market Mutual Funds

018616 75 5 AB GOVERNMENT STIF PORTFOLIO....................................................................................................................................................................... .................................................................................... ................ 03/29/2019....... ................2.380 ........................ .........................160,300,256 ............................................. ...............................349,44340428X 10 7 HSBC US GOVERNMENT MMF - INSTL.................................................................................................................................................................... .................................................................................... ................ 03/19/2019....... ................2.350 ........................ ...............................136,000 ............................................. .............................................

8699999. Total - All Other Money Market Mutual Funds................................................................................................................................................................................. .................................................................................... ................................................................................................... .........................160,436,256 ..........................................0 ...............................349,4438899999. Total - Cash Equivalents .................................................................................... ................................................................................................... .........................160,436,256 ..........................................0 ...............................349,443

MONY Life Insurance Company of America

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