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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 6/25/21 Mass Mutual Var Annuity Sep Ac… 4 485APOS 65:4.6M Command Fin’l Press Corp → Massachusetts Mutual Variable Annuity Separate Account 4 ⇒ Panorama Premier |
Document/Exhibit Description Pages Size
1: 485APOS Post-Effective Amendment of a Form N-1 or N-1A HTML 872K
Registration
2: EX-99.(C)I Underwriting and Servicing Agreement Dated HTML 56K
12/16/14 by and Between Mml Investors Services,
LLC and Massachusetts Mutual Life Insurance
Company
3: EX-99.(C)II Underwriting and Servicing Agreement HTML 56K
(Distribution Servicing Agreement) Dated 04/1/14
Between Mml Strategic Distributors, LLC and
Massachusetts Mutual Life Insurance Company
4: EX-99.(C)III Template for Insurance Product Distribution HTML 108K
Agreement (Version 9/2014) Mml Strategic
Distributors, LLC and Massachusetts Mutual Life
Insurance Company
5: EX-99.(D)I Form of Group Annuity Contract HTML 229K
6: EX-99.(D)II Form of Individual Certificatet HTML 228K
7: EX-99.(D)III Annual Ratchet Death Benefit Endorsement HTML 26K
8: EX-99.(D)IV Reset Death Benefit Endorsement HTML 27K
13: EX-99.(D)IX Individual Retirement Annuity Rider HTML 42K
9: EX-99.(D)V Declared Interest Rate Fixed Account Endorsement HTML 34K
10: EX-99.(D)VI Exchange Endorsement HTML 23K
11: EX-99.(D)VII Fixed Account for Dollar Cost Averaging HTML 29K
Endorsement
12: EX-99.(D)VIII Unisex Annuity Rates Certificate Endorsement HTML 60K
14: EX-99.(D)X Non-Erisa Tax-Sheltered Annuity Endorsement HTML 47K
15: EX-99.(D)XI Roth Individual Retirement Annuity Rider HTML 39K
16: EX-99.(D)XII Governmental 457(B) Deferred Compensation Plan HTML 28K
Rider (Available in Nj Only)
17: EX-99.(D)XIII Qualified Plan Rider HTML 30K
18: EX-99.(E)I Form of Group Variable Deferred Annuity Contract HTML 24K
Application
19: EX-99.(E)II Form of Individual Certificate Variable Annuity HTML 73K
Application
20: EX-99.(F)I Copy of Charter Documentation as Amended Through HTML 64K
08/10/08 of Massachusetts Mutual Life Insurance
Company
21: EX-99.(F)II By-Laws of Massachusetts Mutual Life Insurance HTML 55K
Company as Adopted 04/08/15
22: EX-99.(H)IA1 Participation Agreement Dated 04/30/04 With HTML 171K
Revised Schedule A as of July 6, 2005 (Aim
Variable Insurance Funds, A I M Distributors,
Inc., and Massachusetts Mutual Life Insurance
Company)
23: EX-99.(H)IA1A Amendment No. 1 Effective as of 07/01/08 HTML 31K
24: EX-99.(H)IA1B Amendment No. 2 Effective 04/30/10 HTML 30K
25: EX-99.(H)IA1C Amendment No. 3 Effective 05/01/11 HTML 31K
26: EX-99.(H)IA3 Administrative Services Agreement Dated 10/01/16 HTML 29K
(Invesco Advisers, Inc. and Massachusetts Mutual
Life Insurance Company)
27: EX-99.(H)IB1C Amendment Dated 10/01/20 to Schedule A of the HTML 32K
Amended and Restated Participation Agreement Dated
05/22/17
28: EX-99.(H)IB1D Amendment Dated 03/01/21 to Schedule A of the HTML 31K
Amended and Restated Participation Agreement Dated
05/22/17
29: EX-99.(H)IB2 Summary Prospectus Agreement Effective 05/01/11 HTML 28K
(Fidelity Distributors Corporation and
Massachusetts Mutual Life Insurance Company, C.M.
Life Insurance Company, and Mml Bay State Life
Insurance Company)
30: EX-99.(H)IC1 Participation Agreement Dated 11/17/05 (Mml HTML 106K
Series Investment Fund, Massachusetts Mutual Life
Insurance Company and Mml Bay State Life Insurance
Company and C.M. Life Insurance Company)
31: EX-99.(H)IC1A First Amendment Effective 11/17/05 HTML 36K
32: EX-99.(H)IC1B Second Amendment Dated as of 08/26/08 HTML 46K
33: EX-99.(H)IC1C Third Amendment Dated 04/09/10 HTML 46K
34: EX-99.(H)IC1D Fourth Amendment Dated and Effective 07/23/10 HTML 54K
35: EX-99.(H)IC1E Fifth Amendment Dated 08/28/12 HTML 43K
36: EX-99.(H)IC1F Sixth Amendment Dated 05/01/14 HTML 42K
37: EX-99.(H)IC1G Seventh Amendment Dated August 11, 2015 HTML 31K
38: EX-99.(H)ID1 Participation Agreement Dated 11/17/05 (Mml HTML 121K
Series Investment Fund Ii, Massachusetts Mutual
Life Insurance Company and Mml Bay State Life
Insurance Company and C.M. Life Insurance Company)
39: EX-99.(H)ID1A First Amendment Effective 11/17/05 HTML 44K
40: EX-99.(H)ID1B Second Amendment Dated as of 08/26/08 HTML 49K
41: EX-99.(H)ID1C Third Amendment Dated as of 05/09/10 HTML 49K
42: EX-99.(H)ID1D Fourth Amendment Dated and Effective 07/23/10 HTML 56K
43: EX-99.(H)ID1E Fifth Amendment Dated 08/01/11 HTML 47K
44: EX-99.(H)ID1F Six Amendment Dated and Effective 08/28/12 HTML 46K
45: EX-99.(H)ID1G Seventh Amendment Dated and Effective 11/12/12 HTML 49K
46: EX-99.(H)ID1H Eighth Amendment Dated 04/01/14 HTML 46K
47: EX-99.(H)ID1I Ninth Amendment Dated 08/11/15 HTML 31K
48: EX-99.(H)IE1 Participation Agreement Dated as of 05/21/06 HTML 117K
(Massachusetts Mutual Life Insurance Company, C.M.
Life Insurance Company and Pimco Variable
Insurance Trust and Allianz Global Investors
Distributors LLC)
49: EX-99.(H)IE1A Amendment No. 1 Effective as of 06/30/08 HTML 35K
50: EX-99.(H)IE1B Termination, Agreement Dated 11/10/10 HTML 47K
51: EX-99.(H)IE1C New Agreement Dated 11/10/10 HTML 30K
52: EX-99.(H)IE2 Selling Agreement Executed on 05/26/06 (Allianz HTML 54K
Global Investors Distributors LLC, Massachusetts
Mutual Life Insurance Company and C.M. Life
Insurance Company) for Advisor Class Shares of
Pimco Variable Insurance Trust
53: EX-99.(H)IF1 Participation Agreement Dated 05/26/06 HTML 122K
(Massachusetts Mutual Life Insurance Company, Ing
Funds Distributor, LLC and Ing Variable Products
Trust)
54: EX-99.(H)IF1A Amendment Dated 05/28/17 HTML 27K
55: EX-99.(H)IF1B Amendment Dated 05/03/08 HTML 29K
56: EX-99.(H)IF1C Amendment Dated 09/06/08 HTML 28K
57: EX-99.(H)IF1D Amendment Dated 05/27/10 HTML 32K
58: EX-99.(H)IF1E Amendment Dated 01/17/14 HTML 40K
59: EX-99.(H)IF1F Amendment Dated 12/23/14 HTML 39K
60: EX-99.(H)IIA Aim Variable Insurance Funds Effective 10/16/07 HTML 169K
(Massachusetts Mutual Life Insurance Company, and
C.M. Life Insurance Company)
61: EX-99.(H)IIB Fidelity Distributors Corporation Effective HTML 44K
10/16/07 (Massachusetts Mutual Life Insurance
Company, Mml Bay State Life Insurance Company, and
C.M. Life Insurance Company)
62: EX-99.(H)IIC Mml Series Investment Fund Effective 10/16/07 HTML 38K
(Massachusetts Mutual Life Insurance Company, Mml
Bay State Life Insurance Company, and C.M. Life
Insurance Company)
63: EX-99.(H)IID Mml Series Investment Fund Ii Effective 10/16/07 HTML 39K
(Massachusetts Mutual Life Insurance Company, Mml
Bay State Life Insurance Company, and C.M. Life
Insurance Company)
64: EX-99.(H)IIE Pimco Variable Insurance Trust Effective HTML 43K
10/16/07 (Massachusetts Mutual Life Insurance
Company and C.M. Life Insurance Company)
65: EX-99.(H)IIF Voya Variable Products Trust Effective 10/16/07 HTML 37K
(Massachusetts Mutual Life Insurance Company, and
C.M. Life Insurance Company)
Item 27 Exhibit (h) ii d.
SHAREHOLDER INFORMATION AGREEMENT
SHAREHOLDER INFORMATION AGREEMENT entered into as of March 12, 2007 by and between MML Series Investment Fund II (the “Fund”) and Massachusetts Mutual Life Insurance Company, MML Bay State Life Insurance Company and C.M. Life Insurance Company (each an “Intermediary”) with an effective date of October 16, 2007.
Prior to the effective date of this Shareholder Information Agreement, the Fund and the Intermediary agree that any request made to the Intermediary by the Fund for shareholder transaction information, and the Intermediary’s response to such request, shall be governed by the current process with respect to responding to any such requests.
As used in this Agreement, the following terms shall have the following meanings, unless a different meaning is clearly required by the contexts:
The term “Fund Anti-dilution Policies” means policies established by the Fund and described in the Fund’s prospectus intended to eliminate or reduce any dilution of the value of the outstanding shares issued by the Fund.
The term “Shares” means the interests of Shareholders corresponding to the redeemable securities of record issued by the Fund held by the Intermediary under the terms of the Participation Agreement, as defined below.
The term “Shareholder” means the holder of interests in a variable annuity or variable life insurance contract funded through the Intermediary (“Contract”), or a participant in an employee benefit plan with a beneficial interest in a Contract.
The term “Shareholder-Initiated Transfer Purchase” means a transaction that is initiated or directed by a Shareholder that results in a transfer of assets within a Contract to a Fund, but does not include transactions that are executed: (i) automatically pursuant to a contractual or systematic program or enrollment such as transfer of assets within a Contract to a Fund as a result of “dollar cost averaging” programs, insurance company approved asset allocation programs, or automatic rebalancing programs; (ii) one-time step-up in Contract value pursuant to a Contract death benefit or living benefit; (iii) allocation of assets to a Fund through a Contract as a result of payments such as loan repayments, scheduled contributions, retirement plan salary reduction contributions, or planned premium payments to the Contract; or (iv) prearranged transfers at the conclusion of a free look period required under state law.
The term “Shareholder-Initiated Transfer Redemption” means a transaction that is initiated or directed by a Shareholder that results in a transfer of assets within a Contract out of a Fund, but does not include transactions that are executed: (i) automatically pursuant to a contractual or systematic program or enrollments such as transfers of assets within a Contract out of a Fund as a result of annuity payouts, loans, systematic withdrawal programs, insurance company approved asset allocation programs and automatic rebalancing programs; (ii) as a result of any deduction of charges or fees under a Contract; (iii) within a Contract out of a Fund as a result of scheduled withdrawals or surrenders from a Contract; or (iv) as a result of payment of a death benefit from a Contract.
The term “Participation Agreement” shall mean the Participation Agreement(s) and/or other similar agreement(s) relating to the Intermediary’s ability to purchase Fund shares to which Intermediary and the Fund are, and affiliates of the Fund may be parties.
The term “written” includes electronic writings and facsimile transmissions.
WHEREAS, Intermediary, pursuant to the Participation Agreement, purchases Shares of the Fund to support certain variable life insurance and variable annuity contracts;
WHEREAS, Intermediary and the Fund desire to enter into this agreement as a supplement to the Participation Agreement to define the information that Intermediary will provide to Fund in order that the Fund may review such information about Shareholder transactions through the Intermediary and to otherwise evidence their compliance with Rule 22c-2 under the Investment Company Act of 1940.
NOW, THEREFORE, the Fund and the Intermediary hereby agree as follows:
1.0 Shareholder Information
1.1. Agreement to Provide Information. Intermediary agrees to provide the Fund or its designee, upon written request, the taxpayer identification number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”)1, or other government-issued identifier (“GII’) and the Contract owner number or participant account number associated with the Shareholder, if known, of any or all Shareholder(s) of the account and the amount, date and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through an account maintained by the Intermediary during the period covered by the request. Unless otherwise specifically requested by the Fund, the Intermediary shall only be required to provide information relating to Shareholder-Initiated Transfer Purchases or Shareholder-Initiated Transfer Redemptions.
1.2 Period Covered by Request. Requests must set forth a specific period, not toexceed 90 days from the date or which transaction information is sought. The Fund may request transaction information older than 90 days from the date of the request as it deems necessary to investigate compliance with Fund Anti-dilution Policies.
1.3 Timing of Requests. Fund requests for Shareholder information shall be made no
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1 |
According to the IRS’ website, the ITIN refers to the Individual Taxpayer Identification number, which is a nine-digit number that always begins with the number 9 and has a 7 or 8 in the fourth digit, example 9XX-7X-XXXX. The IRS issues ITINs to individuals who are required to have a U.S. taxpayer identification number but who do not have, and are not eligible to obtain a Social Security Number (SSN) from the Social Security Administration (SSA). SEC Rule 22c-2 inadvertently refers to the ITIN as the International Taxpayer Identification Number |
more frequently than quarterly except where the Fund has a reasonable belief that transactions submitted to the Fund by the Intermediary indicate violation of Fund Anti-dilution Policies.
1.4 Form and Timing of Response. (a) Intermediary agrees to provide, the information specified in 1.1 to the Fund or its designee within a commercially reasonable time not to exceed 10 calendar days from the date the Fund’s written request for information is received by Intermediary,
(b) Responses required by this paragraph must be communicated in writing and in a format or formats mutually agreed upon by the Fund and the Intermediary. In no event, will Intermediary be required to provide data in a format or through a data transmission facility that is not supported by Intermediary at the time this agreement is executed.
1.5 Limitations on Use of Information. The Fund agrees
(a) to keep confidential according to the standard it applies to its own confidential information of a like type;
(b) not to use the information received pursuant to this Agreement for any purpose other than as necessary to comply with the provisions of Rule 22c-2 or to fulfill other regulatory or legal requirements subject to the privacy provisions of Title V of the Gramm-Leach-Bliley Act (Public Law 106-102) and comparable state laws; and
(c) not to disclose the information, without the prior written consent of Intermediary, to any third party except the Fund’s investment advisor and the Fund’s Board of Directors when necessary for these parties to evaluate the information in light of the Fund’s Anti-Dilution Policies.
2.0 Agreement to Restrict Trading. In the event the Fund determines that Shareholder-Initiated Purchase Transactions or Shareholder-Initiated Redemption Transactions of a Shareholder or Shareholders violate the Fund’s Anti-Dilution Policies and the Fund determines to impose a trading restriction on the Shareholder, Intermediary agrees to execute written instructions from the Fund to prohibit the Shareholder from submitting any transaction requests that would result in the purchase or sale of Fund shares by telephone, Internet, facsimile or other electronic means for a period of time determined by the Fund. Unless otherwise directed by the Fund, any such restrictions or prohibitions shall only apply to Shareholder-Initiated Transfer Purchases or Shareholder-Initiated Transfer Redemptions that are effected directly or indirectly through Intermediary. Instructions must be received by Intermediary at the following address, or such other address that Intermediary may communicate to the Fund in writing from time to time, including, if applicable, an e-mail and/or facsimile telephone number:
MassMutual Financial Group
Attn: Kimberly Biggs
1295 State Street
860-562-4780
2.1 Form of Instructions. Instructions to restrict trading under Section 2.0 above must include the TIN, ITIN, or GII and the specific individual Contract owner number or
participant account number associated with the Shareholder, if known. If the TIN, ITIN, GII or the specific individual Contract owner number or participant account number associated with the Shareholder is not known, the instructions must include an equivalent identifying number of the Shareholder(s) or account(s) or other agreed upon information to which the instruction relates. Upon request of the Intermediary, Fund agrees to provide to the Intermediary, along with any written instructions to prohibit further purchases or exchanges of Shares by Shareholder, information regarding those trades of the contract holder that violated the Fund Anti-Dilution Policies.
2.2 Timing of Response. Intermediary agrees to execute instructions as soon asreasonably practicable after receipt of the instructions by the Intermediary.
2.3 Confirmation by Intermediary. Intermediary must provide written confirmation to the Fund that instructions have been executed. Intermediary agrees to provide confirmation as soon as reasonably practicable, but not later than ten business days after the instructions have been executed.
3. Miscellaneous
3.1 Construction of the Agreement. This Agreement supplements and expressly not supercede the Participation Agreement(s). To the extent the terms of this Agreement conflict with the terms of a Participation Agreement, the terms of this Agreement shall control.
3.2 Form of Notice. Any written instructions, requests or confirmations required orallowed by this Agreement may be made by electronic transmission of writings, including facsimile, to the addresses specified in this Agreement unless otherwise specified by either party.
3.3 Termination. This Agreement will terminate upon the date Fund shares are no longer held by the Intermediary and no longer made available as investment options to Shareholders or the date of termination of the Participation Agreement(s), if later.
IN WITNESS WHEREOF, the undersigned has caused this Agreement to be executed as of the date first above written.
| Massachusetts Mutual Life Insurance Company | MML Series Investment Fund II | |||||||||
| MML Bay State Life Insurance Company | ||||||||||
| C.M. Life Insurance Company | ||||||||||
| By: |
/s/ Craig Waddington |
By: | ||||||||
|
Vice President |
Nicholas Palmerino | |||||||||
| Date: | 3/12/07 | Date: | 3/21/07 | |||||||
| This ‘485APOS’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 6/25/21 | None on these Dates | ||
| 10/16/07 | ||||
| 3/12/07 | ||||
| List all Filings | ||||