Common use of Shareholder Information and Imposition of Trading Restrictions Clause in Contracts

Shareholder Information and Imposition of Trading Restrictions. 5.1 Insurance Company agrees to provide promptly, but not later than ten Business Days, to the Participating Fund, upon Written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”) or other government-issued identifier (“GII”), if known, of any or all Contractholder(s) who have purchased, redeemed, transferred or exchanged Shares held through a Separate Account with Insurance Company during the period covered by the request and the amount, date, name or other identifier of any investment professional(s) associated with the Contractholder(s) or the Separate Account (if known), and transaction type (purchase, redemption, transfer or exchange) of every purchase, redemption, transfer or exchange of Shares. To the extent practicable, the format for any transaction information provided to the Participating Fund should be consistent with the National Securities Clearing Corporation Standardized Data Reporting Format. Unless otherwise specifically requested by the Participating Fund, the Insurance Company shall only be required to provide information relating to Contractholder Initiated Transfer Purchases or Contractholder Initiated Redemptions.

Appears in 6 contracts

Samples: Fund Participation Agreement (Pacific Select Exec Separate Account of Pacific Life & Annui), Fund Participation Agreement (Pacific Select Exec Separate Acct Pacific Life Ins), Fund Participation Agreement (Pacific Select Exec Separate Acct Pacific Life Ins)

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Shareholder Information and Imposition of Trading Restrictions. 5.1 Insurance Company agrees to provide promptly, but not later than ten Business Days, to the Participating Fund, upon Written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”) or other government-issued identifier (“GII”), if known, of any or all Contractholder(s) who have purchased, redeemed, transferred or exchanged Shares held through a Separate Account with Insurance Company during the period covered by the request and the amount, date, name or other identifier of any investment professional(s) associated with the Contractholder(s) or the Separate Account (if known), and transaction type (purchase, redemption, transfer or exchange) of every purchase, redemption, transfer or exchange of Shares. To the extent practicable, the format for any transaction information provided to the Participating Fund should be consistent with the National Securities Clearing Corporation Standardized Data Reporting Format. Unless otherwise specifically requested by the Participating Fund, the Insurance Company shall only be required to provide information relating to Contractholder Initiated Transfer Purchases or Contractholder Initiated Redemptions.

Appears in 2 contracts

Samples: Fund Participation Agreement (MEMBERS Horizon Variable Separate Account), Fund Participation Agreement (Jefferson National Life of New York Annuity Account 1)

Shareholder Information and Imposition of Trading Restrictions. 5.1 Insurance Company agrees to provide promptly, but not later than ten Business Days, to the Participating Fund, upon Written request, the taxpayer identification number ("TIN"), the Individual/International Taxpayer Identification Number ("ITIN") or other government-issued identifier ("GII"), if known, of any or all Contractholder(s) who have purchased, redeemed, transferred or exchanged Shares held through a Separate Account with Insurance Company during the period covered by the request and the amount, date, name or other identifier of any investment professional(s) associated with the Contractholder(s) or the Separate Account (if known), and transaction type (purchase, redemption, transfer or exchange) of every purchase, redemption, transfer or exchange of Shares. To the extent practicable, the format for any transaction information provided to the Participating Fund should be consistent with the National Securities Clearing Corporation Standardized Data Reporting Format. Unless otherwise specifically requested by the Participating Fund, the Insurance Company shall only be required to provide information relating to Contractholder Initiated Transfer Purchases or Contractholder Initiated Redemptions.

Appears in 1 contract

Samples: Fund Participation Agreement (First Symetra National Life Insurance Co of Ny Sep Acct S)

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Shareholder Information and Imposition of Trading Restrictions. 5.1 4.1 Insurance Company agrees to provide promptly, but not later than ten Business Days, to the Participating Fund, upon Written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”) or other government-issued identifier (“GII”), if known, of any or all Contractholder(s) who have purchased, redeemed, transferred or exchanged Shares held through a Separate Account with Insurance Company during the period covered by the request and the amount, date, name or other identifier of any investment professional(s) associated with the Contractholder(s) or the Separate Account (if known), and transaction type (purchase, redemption, transfer or exchange) of every purchase, redemption, transfer or exchange of Shares. To the extent practicable, the format for any transaction information provided to the Participating Fund should be consistent with the National Securities Clearing Corporation Standardized Data Reporting Format. Unless otherwise specifically requested by the Participating Fund, the Insurance Company Intermediary shall only be required to provide information relating to Contractholder Contractholder-Initiated Transfer Purchases or Contractholder Shareholder-Initiated Transfer Redemptions.

Appears in 1 contract

Samples: Fund Participation Agreement (Protective NY COLI VUL)

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