Registration Statement (General Form) — Form S-1
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-1 Alic of Ny--Form S-1 HTML 3.13M
2: EX-3.(I) Amended and Restated Charter of Alic of Ny 4 46K
3: EX-3.(II) Amended and Restated By-Laws of Alic of Ny 13 78K
4: EX-5.(J) Opinion of General Counsel Re: Legality 2± 35K
5: EX-23 Consent of Independent Registered Public 1 31K
Accounting Firm
6: EX-24 Powers of Attorney 9 51K
7: EX-99.(B) Experts 1 30K
75: R1 Document and Entity Information HTML 44K
59: R2 Statements of Operations and Comprehensive Income HTML 117K
71: R3 Statements of Operations and Comprehensive Income HTML 44K
(Parenthetical)
79: R4 Statements of Financial Position HTML 177K
102: R5 Statements of Financial Position (Parenthetical) HTML 52K
61: R6 Statements of Shareholder's Equity HTML 61K
70: R7 Statements of Cash Flows HTML 135K
53: R8 General HTML 51K
42: R9 Summary of Significant Accounting Policies HTML 72K
104: R10 Supplemental Cash Flow Information HTML 43K
81: R11 Related Party Transactions HTML 53K
80: R12 Investments HTML 374K
87: R13 Fair Value of Assets and Liabilities HTML 368K
88: R14 Derivative Financial Instruments and Off-balance HTML 152K
sheet Financial Instruments
85: R15 Reserve for Life-Contingent Contract Benefits and HTML 133K
Contractholder Funds
89: R16 Reinsurance HTML 68K
72: R17 Deferred Policy Acquisition and Sales Inducement HTML 51K
Costs
76: R18 Guarantees and Contingent Liabilities HTML 40K
83: R19 Income Taxes HTML 67K
112: R20 Statutory Financial Information and Dividend HTML 38K
Limitations
97: R21 Benefit Plans HTML 37K
66: R22 Other Comprehensive Income HTML 64K
82: R23 Summary of Investments Other Than Investments in HTML 69K
Related Parties
68: R24 Reinsurance HTML 73K
33: R25 Valuation Allowances and Qualifying Accounts HTML 46K
98: R26 Summary of Significant Accounting Policies HTML 108K
(Policies)
108: R27 General (Tables) HTML 43K
48: R28 Supplemental Cash Flow Information (Tables) HTML 41K
47: R29 Investments (Tables) HTML 360K
51: R30 Fair Value of Assets and Liabilities (Tables) HTML 327K
52: R31 Derivative Financial Instruments and Off-balance HTML 144K
sheet Financial Instruments (Tables)
54: R32 Reserve for Life-Contingent Contract Benefits and HTML 142K
Contractholder Funds (Tables)
22: R33 Reinsurance (Tables) HTML 64K
95: R34 Deferred Policy Acquisition and Sales Inducement HTML 52K
Costs (Tables)
64: R35 Income Taxes (Tables) HTML 67K
67: R36 Other Comprehensive Income (Tables) HTML 61K
37: R37 Summary of Premiums and Contract Charges by HTML 62K
Product (Detail)
111: R38 Summary of Significant Accounting Policies - HTML 48K
Additional Information (Detail)
14: R39 Supplemental Cash Flow Information - Additional HTML 40K
Information (Detail)
56: R40 Schedule of Supplemental Cash Flow Information HTML 47K
(Detail)
101: R41 Related Party Transactions - Additional HTML 114K
Information (Detail)
35: R42 Schedule for Fixed Income Securities at Amortized HTML 104K
Cost, Gross Unrealized Gains and Losses and Fair
Value (Detail)
46: R43 Schedule for Fixed Income Securities Based on HTML 85K
Contractual Maturities (Detail)
50: R44 Schedule of Net Investment Income (Detail) HTML 68K
60: R45 Schedule of Realized Capital Gains and Losses by HTML 57K
Asset Type (Detail)
21: R46 Schedule of Realized Capital Gains and Losses by HTML 53K
Transaction Type (Detail)
41: R47 Investments - Additional Information (Detail) HTML 114K
16: R48 Schedule of Other-Than-Temporary Impairment Losses HTML 81K
by Asset Type (Detail)
100: R49 Schedule of Rollforwards of Cumulative Credit HTML 54K
Losses Recognized in Earnings for Fixed Income
Securities Held (Detail)
34: R50 Schedule of Unrealized Net Capital Gains and HTML 98K
Losses (Detail)
96: R51 Schedule of Change in Unrealized net Capital Gains HTML 71K
and Losses (Detail)
38: R52 Summary of Gross Unrealized Losses and Fair Value HTML 154K
of Fixed Income and Equity Securities by Length of
Time (Detail)
57: R53 Schedule of Commercial Mortgage Loans by HTML 52K
Geographic Distribution (Detail)
15: R54 Schedule of Types of Properties Collateralizing HTML 51K
Commercial Mortgage Loans (Detail)
19: R55 Schedule of Contractual Maturities of Mortgage HTML 70K
Loans (Detail)
49: R56 Summary of Carrying Value of Non-Impaired Fixed HTML 52K
and Variable Rate Mortgage Loans by Debt Service
Coverage Ration Distribution (Detail)
26: R57 Schedule of Rollforward of Valuation Allowance on HTML 43K
Impaired Mortgage Loans (Detail)
105: R58 Schedule of Municipal Bonds Held For Investment by HTML 45K
Geographic Distribution (Detail)
63: R59 Summary of Assets and Liabilities Measured at Fair HTML 150K
Value on Recurring and Non-Recurring Basis
(Detail)
86: R60 Summary of Quantitative Information About HTML 59K
Significant Unobservable Inputs Used in Level
Three Fair Value Measurements (Detail)
40: R61 Fair Value of Assets and Liabilities - Additional HTML 62K
Information (Detail)
43: R62 Schedule of Rollforward of Level 3 Assets and HTML 244K
Liabilities Held at Fair Value on Recurring Basis
(Detail)
93: R63 Schedule of Rollforward of Level 3 Assets and HTML 59K
Liabilities Held at Fair Value on Recurring Basis
(Parenthetical) (Detail)
90: R64 Schedule of Change in Unrealized Gains and Losses HTML 70K
Included in Net Income for Level Three Assets and
Liabilities Held (Detail)
65: R65 Schedule of Carrying Values and Fair Value HTML 61K
Estimates of Financial Instruments not Carried at
Fair Value (Detail)
92: R66 Summary of Volume and Fair Value Positions of HTML 125K
Derivative Instruments and Reporting Location in
Statement of Financial Position (Detail)
39: R67 Summary of Gains and Losses from Valuation and HTML 81K
Settlements For Derivatives Not Designated As
Hedges (Detail)
69: R68 Summary of Counterparty Credit Exposure by HTML 72K
Counterparty Credit Rating (Detail)
107: R69 Derivative Financial Instruments and Off-balance HTML 40K
sheet Financial Instruments - Additional
Information (Detail)
18: R70 Schedule of Reserve for Life-Contingent Contract HTML 53K
Benefits (Detail)
32: R71 Schedule of Key Assumptions Used In Calculation HTML 99K
Reserve for Life-Contingent Contract Benefits
(Detail)
58: R72 Reserve for Life-Contingent Contract Benefits and HTML 45K
Contractholder Funds - Additional Information
(Detail)
24: R73 Schedule of Contractholder Funds (Detail) HTML 46K
110: R74 Schedule of Contract Provisions Related to HTML 79K
Contractholder Funds (Detail)
36: R75 Schedule of Contractholder Funds Activity (Detail) HTML 57K
27: R76 Summary of Variable Annuity Contracts with HTML 76K
Guarantees (Detail)
31: R77 Summary of Liabilities for Guarantees (Detail) HTML 102K
20: R78 Summary of Liabilities for Guarantees HTML 68K
(Parenthetical) (Detail)
23: R79 Reinsurance - Additional Information (Detail) HTML 82K
77: R80 Schedule of Effects of Reinsurance on Premiums and HTML 52K
Contract Charges (Detail)
29: R81 Schedule of Effects of Reinsurance on Contract HTML 51K
Benefits (Detail)
106: R82 Schedule of Effect of Reinsurance on Interest HTML 50K
Credited to Contractholder Funds (Detail)
55: R83 Schedule of Deferred Policy Acquisition Costs HTML 50K
(Detail)
84: R84 Schedule of Deferred Sales Inducement Activity HTML 46K
(Detail)
91: R85 Guarantees and Contingent Liabilities - Additional HTML 39K
Information (Detail)
28: R86 Income Taxes - Additional Information (Detail) HTML 44K
30: R87 Components of Deferred Income Tax Assets and HTML 74K
Liabilities (Detail)
103: R88 Components of Income Tax Expense (Detail) HTML 46K
25: R89 Reconciliation of Statutory Federal Income Tax HTML 49K
Rate to Effective Income Tax Rate (Detail)
78: R90 Statutory Financial Information - Additional HTML 46K
Information (Detail)
74: R91 Benefit Plans - Additional Information (Detail) HTML 40K
94: R92 Schedule of Components of Other Comprehensive HTML 96K
Income on Pre-Tax and After-Tax Basis (Detail)
73: R93 Schedule I - Summary of Investments Other Than HTML 137K
Investments in Related Parties (Detail)
62: R94 Schedule IV - Reinsurance (Detail) HTML 86K
99: R95 Schedule V - Valuation Allowances and Qualifying HTML 49K
Accounts (Detail)
109: XML IDEA XML File -- Filing Summary XML 182K
17: EXCEL IDEA Workbook of Financial Reports XLSX 414K
45: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 2.86M
8: EX-101.INS XBRL Instance -- ck0000839759-20141231 XML 4.55M
10: EX-101.CAL XBRL Calculations -- ck0000839759-20141231_cal XML 341K
11: EX-101.DEF XBRL Definitions -- ck0000839759-20141231_def XML 1.55M
12: EX-101.LAB XBRL Labels -- ck0000839759-20141231_lab XML 2.03M
13: EX-101.PRE XBRL Presentations -- ck0000839759-20141231_pre XML 1.76M
9: EX-101.SCH XBRL Schema -- ck0000839759-20141231 XSD 328K
44: ZIP XBRL Zipped Folder -- 0001193125-15-116039-xbrl Zip 348K
‘EX-3.(I)’ — Amended and Restated Charter of Alic of Ny
| EX-3.(I) | 1st Page of 4 | TOC | ↑Top | Previous | Next | ↓Bottom | Just 1st |
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Exhibit 3(i)
AMENDED AND RESTATED CHARTER
OF
ALLSTATE LIFE INSURANCE COMPANY OF NEW YORK
Under Section 1206 of the Insurance Law and
Section 807 of the Business Corporation Law
The undersigned, being President and Secretary of Allstate Life Insurance
Company of New York, hereby certify:
1. The name of the company is Allstate Life Insurance Company of New York.
The company was previously named PM Life Insurance Company. The name under
which the company was originally incorporated was Financial Life Insurance
Company.
2. The Charter of the company was filed by the New York State Insurance
Department on January 25, 1967. The Charter was restated (pursuant to
Section 1206 of the Insurance Law and Section 807 of the Business Corporation
Law) on May 16, 1978, and on December 2, 2003.
3. The Charter, as heretofore amended and now in effect, is hereby restated,
as authorized by Section 1206 of the Insurance Law and Section 807 of the
Business Corporation Law, to combine all amendments into one certificate.
4. The text of the Charter is hereby restated to read in full as follows:
FIRST: The name of the company is Allstate Life Insurance Company of
New York.
SECOND: The principal office of the company shall be located in the
County of Suffolk, State of New York.
THIRD: The business to be transacted by the company shall be the following
kinds of insurance specified in paragraphs 1, 2, and 3 of Section 1113 of
the Insurance Law of the State of New York, and any amendments to such
paragraphs or provisions in substitution therefore which may be hereafter
adopted, and such other kind or kinds of business to the extent necessarily
or properly incidental to the kind or kinds of insurance business which the
company is authorized to do:
(1) "Life Insurance," means every insurance upon the lives of human beings,
and every insurance appertaining thereto, including the granting of endowment
Page 1 of 4
benefits, additional benefits in the event of death by accident, additional
benefits to safeguard the contract from lapse, accelerated payments of part
or all of the death benefit or a special surrender value upon (A) diagnosis
of terminal illness defined as a life expectancy of twelve months or less,
(B) diagnosis of a medical condition requiring extraordinary medical care or
treatment regardless of life expectancy, (C) certification by a licensed
health care practitioner of any condition which requires continuous care for
the remainder of the insured's life in an eligible facility or at home when
the insured is chronically ill as defined by Section 7702(B) of the Internal
Revenue Code and regulations thereunder, provided the accelerated payments
qualify under Section 101(g)(3) of the Internal Revenue Code and all other
applicable sections of federal law in order to maintain favorable tax
treatment, or (D) certification by a licensed health care practitioner that
the insured is chronically ill as defined by Section 7702 (B) of the
Internal Revenue Code and regulations thereunder, provided the accelerated
payments qualify under Section 101(g)(3) of the Internal Revenue Code and
all other applicable sections of federal law in order to maintain favorable
tax treatment and the insurer that issues such policy is a qualified long
term care insurance carrier under Section 4980c of the Internal Revenue Code
or provide a special surrender value, upon total and permanent disability of
the insured, and optional modes of settlement of proceeds. "Life insurance"
also includes additional benefits to safeguard the contract against lapse in
the event of unemployment of the insured or in the event the insured is a
resident of a nursing home. Amounts paid the insurer for life insurance and
proceeds applied under optional modes of settlement or under dividend
options may be allocated by the insurer to one or more separate accounts
pursuant to section four thousand two hundred forty of this chapter.
(2) "Annuities," means all agreements to make periodical payments for a
period certain or where the making or continuance of all or some of a series
of such payments, or the amount of any such payment, depends upon the
continuance of human life, except payments made under the authority of
paragraph one hereof. Amounts paid the insurer to provide annuities and
proceeds applied under optional modes of settlement or under dividend
options may be allocated by the insurer to one or more separate accounts
pursuant to section four thousand two hundred forty of this chapter.
(3) "Accident and health insurance," means (i) insurance against death or
personal injury by accident or by any specified kind or kinds of accident
and insurance against sickness, ailment or bodily injury, including
insurance providing disability benefits pursuant to article nine of the
workers' compensation law, except as specified in item (ii) hereof; and
(ii) non-cancellable disability insurance, meaning insurance against
disability resulting from sickness, ailment or bodily injury (but excluding
insurance solely against accidental injury) under any contract which does
not give the insurer the option to cancel or otherwise terminate the
contract at or after one year from its effective date or renewal date.
FOURTH: The corporate powers of the company shall be exercised by a
Page 2 of 4
Board of Directors, by committees thereof, and by such officers, employees
and agents as such board shall empower.
FIFTH: The number of Directors of the company shall not be less than seven
nor more than thirteen in number, and shall be determined by or under the
By-laws. As used in this paragraph, 'number of Directors' means the total
number of Directors that the company would have if there were no vacancies.
Directors shall be elected at each annual meeting of shareholders and each
Director so elected shall hold office until the next annual meeting of
shareholders and until his or her successor is elected and qualified. In the
event that the number of Directors duly elected and serving shall be less
than seven, the company shall not for that reason be dissolved, but the
vacancy or vacancies shall be filled as provided in Article SEVENTH hereof.
Each Director shall be at least twenty-one years of age. At all times a
majority of the Directors shall be citizens and residents of the United
States and not less than one of the Directors shall be a resident of New
York. The Directors need not be shareholders of the company. Not less than
one-third of the Directors of the company shall be persons who are not
officers or employees of the company or of any entity controlling,
controlled by, or under common control with such company and who are not
beneficial owners of a controlling interest in the voting stock of such
company.
SIXTH: The annual meeting of the shareholders shall be held at the principal
office of the company in the state of New York, or at such other location
within or without the state of New York as may be set forth in the notice of
call, on the fourth Tuesday in February of each year, except when such day
shall be a legal holiday, in which case the meeting shall be held on the
next succeeding business day. At the annual meeting of shareholders, the
shareholders shall elect a Board of Directors and shall transact such other
business as may legally come before the meeting. The Chairman of the Board
or the Board of Directors may at any time call a special meeting of the
shareholders, and the Chairman of the Board shall call such special meeting
when requested, in writing, so to do by the owners of not less than
one-fifth of the outstanding shares of the company.
SEVENTH: Any vacancies occurring in the Board of Directors shall be filled
by the shareholders in the manner specified in the By-laws. Notice of any
election of a Director pursuant to the By-laws to fill a vacancy shall be
given to the Superintendent of Insurance of the State of New York in the
manner and to the extent required by law. Any or all of the Directors may be
removed at any time, either for or without cause, by vote of the
shareholders or, for cause, by vote of a majority of the Directors then in
office. If the removal of a Director is requested by the Superintendent of
Insurance of the State of New York, the Chairman of the Board of Directors
shall immediately call a special meeting of the Board of Directors to
respond to such request.
EIGHTH: The duration of the corporate existence of the company shall be
perpetual.
Page 3 of 4
NINTH: The amount of capital of the company shall be Two Million Five
Hundred Thousand Dollars ($2,500,000) and shall consist of One Hundred
Thousand (100,000) shares, par value twenty-five dollars ($25.00) per share.
TENTH: In the manner specified in the By-laws, the Board of Directors shall
elect officers at its annual meeting, and officers may be elected or removed
and a vacancy in any office may be filled by the Board of Directors at any
meeting.
ELEVENTH: No shareholder of the company shall have a prior right because of
his shareholdings to have first or at any time offered to him any part of
any of the presently authorized shares of the company hereafter optioned,
issued or sold, or any part of any security of the company presently
authorized whether or not issued, and subject to statutory requirements all
securities of the company which may hereafter be authorized may at any time
be sold, optioned and contracted for sale of subscription and/or sold and
disposed of by authorization of the Board of Directors of the company to
such person or persons and upon such terms and conditions as may to said
Board of Directors seem proper or advisable without first offering said
shares or security or any part thereof to existing shareholders.
TWELFTH: The company may issue both participating policies or contracts and
non-participating policies or contracts, upon receiving a special permit
from the Superintendent of Insurance of the State of New York so to do and
in compliance and pursuant to the provisions of Section 216 of the Insurance
Law of the State of New York.
5. The foregoing Amendment and Restatement of the Charter was authorized,
pursuant to Section 807 of the Business Corporation Law and Section 1206 of
the Insurance Law, by the Board of Directors of the company at a special
meeting held on June 22, 2010, and by vote of a majority of all outstanding
shares entitled to vote thereon at a meeting of shareholders on June 22,
2010.
IN WITNESS WHEREOF, the undersigned have signed this Amended and Restated
Charter of Allstate Life Insurance Company of New York and affirmed it as true
under the penalties of perjury this 22/nd/ day of June 2010.
/s/ Matthew E. Winter
------------------------------
Matthew E. Winter
President
/s/ Susan L. Lees
------------------------------
Susan L. Lees
Secretary
Page 4 of 4
Dates Referenced Herein
| Referenced-On Page |
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| This ‘S-1’ Filing | | Date | | First | | Last | | | Other Filings |
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| |  |
| Filed on: | | 4/1/15 | | | | | | | None on these Dates |
| | 6/22/10 | | 4 |
| | 12/2/03 | | 1 |
| List all Filings |
3 Subsequent Filings that Reference this Filing
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