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REGISTRATION NOS. 33-37722
811-6216
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-4
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
PRE-EFFECTIVE AMENDMENT NO.
POST-EFFECTIVE AMENDMENT NO. 19 [X]
REGISTRATION STATEMENT
UNDER THE
INVESTMENT COMPANY ACT OF 1940 [X]
AMENDMENT NO. 26
(CHECK APPROPRIATE BOX OR BOXES.)
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MONY VARIABLE ACCOUNT A
(EXACT NAME OF REGISTRANT)
THE MUTUAL LIFE INSURANCE COMPANY
OF NEW YORK
(NAME OF DEPOSITOR)
1740 BROADWAY
NEW YORK, NEW YORK 10019
(ADDRESS OF DEPOSITOR'S PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)
(212) 708-2000
(DEPOSITOR'S TELEPHONE NUMBER, INCLUDING AREA CODE)
EDWARD P. BANK
VICE PRESIDENT AND DEPUTY GENERAL COUNSEL
THE MUTUAL LIFE INSURANCE COMPANY
OF NEW YORK
1740 BROADWAY
NEW YORK, NEW YORK 10019
(NAME AND ADDRESS OF AGENT FOR SERVICE)
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APPROXIMATE DATE OF PROPOSED PUBLIC OFFERING: It is proposed that this
filing will become effective on May 1, 1998 pursuant to paragraph (b) of Rule
485.
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CROSS REFERENCE SHEET
(REQUIRED BY RULE 495)
PART A
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ITEM NO. LOCATION
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1. Cover Page.......................................... Cover Page
2. Definitions......................................... Definitions
3. Synopsis............................................ Synopsis
4. Condensed Financial Information..................... Condensed Financial Information
5. General Description of Registrant, Depositor,
and Portfolio Companies........................... The Mutual Life Insurance Company
of New York; MONY Variable Account
A; The Funds
6. Deductions and Expenses............................. Charges and Deductions
7. General Description of Variable Annuity Contracts... Payment and Allocation of Net
Purchase Payments; Other Provisions
8. Annuity Period...................................... Annuity Provisions
9. Death Benefit....................................... Death Benefit; Annuity Provisions
10. Purchases and Contract Value........................ Payment and Allocation of Net
Purchase Payments
11. Redemptions......................................... Surrenders
12. Taxes............................................... Federal Tax Status
13. Legal Proceedings................................... Legal Proceedings
14. Table of Contents of Statement of Additional
Information....................................... Table of Contents of Statement of
Additional Information
PART B
15. Cover Page.......................................... Cover Page
16. Table of Contents................................... Table of Contents
17. General Information and History..................... The Mutual Life Insurance Company
of New York
18. Services............................................ Not Applicable
19. Purchases of Securities Being Offered............... Not Applicable
20. Underwriters........................................ Prospectus -- The Mutual Life
Insurance Company of New York
21. Calculation of Performance Data..................... Performance Data
22. Annuity Payments.................................... Not Applicable
23. Financial Statements................................ Financial Statements
PART C
Information related to the following Items is set forth under the appropriate Item, so
numbered, in Part C to this Registration Statement.
24. Financial Statements and Exhibits
25. Directors and Officers of the Depositor
26. Persons Controlled by or Under Common Control with the Depositor or Registrant
27. Number of Contractowners
28. Indemnification
29. Principal Underwriters
30. Location of Accounts and Records
31. Management Services
32. Undertakings
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Registrant hereby incorporates herein by reference the Prospectus and
Statement of Additional Information included in Post-Effective Amendment No. 18
to Registration Statement on Form N-4 (Registration No. 33-37722).
PART C
OTHER INFORMATION
ITEM 24. FINANCIAL STATEMENTS AND EXHIBITS
(A) The following Financial Statements are included in this Registration
Statement:
(1) With respect to MONY Variable Account A
(a) Report of Independent Accountants
(b) Statements of assets and liabilities as of December 31, 1997
(c) Statements of operations for the year ended December 31, 1997
(d) Statements of changes in net assets for the years ended December 31,
1997 and 1996
(e) Notes to financial statements
(2) With respect to The Mutual Life Insurance Company of New York:
(a) Comment on financial statements of MONY
(b) Report of Independent Accountants
(c) Balance sheets as of December 31, 1997 and 1996
(d) Statements of operations for the years ended December 31, 1997 and
1996
(e) Statements of surplus for the years ended December 31, 1997 and 1996
(f) Statements of cash flows for the years ended December 31, 1997 and
1996
(g) Notes to financial statements
(B) Exhibits
(1) Resolutions of Board of Trustees of The Mutual Life Insurance Company
of New York ("Company") authorizing the establishment of MONY Variable Account A
("Variable Account"), adopted November 28, 1990, filed as Exhibit (1) to
Pre-Effective Amendment No. 1 to Registration Statement (Registration Nos.
33-37722 and 811-6216) dated December 17, 1990, are incorporated herein by
reference.
(2) Not applicable.
(3) (a) Underwriting Agreement between MONY Securities Corp., The Mutual
Life Insurance Company of New York, and MONY Series Fund, Inc. filed as Exhibit
(3)(a) to Registration Statement (Registration No. 33-37718) dated November 9,
1990, is incorporated herein by reference.
(b) Specimen Agreement with Registered Representatives filed as
Exhibit 3(b) to PreEffective Amendment No. 1, to Registration Statement
(Registration Nos. 33-37722 and 811-6216) dated December 17, 1990, is
incorporated herein by reference.
(c) Specimen Agreement (Career Contract) between the Company and
selling agents (with Commission Schedule), filed as Exhibit 3(c) to
Registration Statement Nos. 33-18626 and 811-5394, dated November 20, 1987,
is incorporated herein by reference.
(4) Proposed forms of Flexible Payment Variable Annuity Contracts, filed as
Exhibit (4) to Pre-Effective Amendment No. 1 to Registration Statement
(Registration Nos. 33-37722 and 811-6126) dated December 17, 1990, is
incorporated herein by reference.
(5) Proposed form of Application for Flexible Payment Variable Annuity
Contract (included in Exhibit 4).
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(6) Articles of Incorporation and By-Laws of the Company, filed as Exhibit
6 to Registration Statement (Registration Nos. 33-19836 and 811-5457) No.
33-13850, dated January 27, 1988, is incorporated herein by reference.
(7) Not applicable.
(8) Not applicable.
(9) Opinion and Consent of Edward P. Bank, Esq., as Vice President and
Deputy General Counsel, filed as Exhibit 9 to Post-Effective Amendment No. 2 to
Registration Statement (Registration Nos. 33-37722 and 811-6216) dated February
28, 1992, is incorporated herein by reference.
(10) Consent of Coopers & Lybrand L.L.P., Independent Accountants for MONY
Variable Account A. Consent of Coopers & Lybrand L.L.P., Independent Accountants
for The Mutual Life Insurance Company of New York filed as Exhibit 10 to
Post-Effective Amendment No. 18 to Registration Statement (Registration Nos.
33-37722 and 811-6126) dated March 2, 1998, is incorporated herein by reference.
(11) Not applicable.
(12) Not applicable.
(13) Calculation of Performance Data.
ITEM 25. DIRECTORS AND OFFICERS OF THE DEPOSITOR
1. TRUSTEES
CLAUDE M. BALLARD, JR. Ltd. Partner, Goldman, Sachs & Company, New York,
N.Y.
TOM H. BARRETT Former Chairman of the Board, President & Chief Executive
Officer, The Goodyear Tire & Rubber Company, Akron, Ohio.
DAVID L. CALL Ronald P. Lynch Dean Emeritus, Cornell University, College of
Agriculture and Life Sciences, Ithaca, New York.
G. ROBERT DURHAM Retired Chairman and Chief Executive Officer, Walter
Industries, Inc., Tampa, Florida and Retired Chairman and Chief Executive
Officer, Phelps Dodge Corporation.
JAMES B. FARLEY Retired Chairman and Chief Executive Office, MONY.
ROBERT HOLLAND, JR. Former Chairman and Chief Executive Officer, Ben &
Jerry's Homemade, Inc.
JAMES L. JOHNSON Chairman Emeritus, GTE Corporation, Stamford, Connecticut.
ROBERT R. KILEY President and Chief Executive Officer, The New York City
Partnership and Chamber of Commerce, Inc., New York, NY.
JOHN R. MEYER Emeritus Professor, Harvard University, Cambridge,
Massachusetts.
PAUL A. MILLER Chairman of the Executive Committee, Pacific Enterprises,
Los Angeles, California.
JANE C. PFEIFFER Management Consultant, Greenwich, Connecticut.
THOMAS C. THEOBALD Managing Director, William Blair Capital Partners,
L.L.C., Chicago, Illinois, Chicago, Illinois.
2. OFFICER-TRUSTEES
MICHAEL I. ROTH, Chairman and Chief Executive Officer, MONY; Director,
Chairman of the Board, and Chief Executive Officer, MONY Life Insurance Company
of America; Director, MONY CS, Inc., and 1740 Advisers, Inc.
SAMUEL J. FOTI, President and Chief Operating Officer, MONY; Director,
President and Chief Operating Officer, MONY Life Insurance Company of America;
Director, MONY Brokerage, Inc., Director and
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Chairman, MONY International Holdings, Inc., MONY Life Insurance Company of the
Americas, Ltd., and MONY Bank & Trust Company of the Americas, Ltd.
KENNETH M. LEVINE, Executive Vice President and Chief Investment Officer,
MONY; Director, Chairman, and President, MONY Series Fund, Inc.; Director and
Executive Vice President, MONY Life Insurance Company of America, Director, 1740
Advisers, Inc., MONY Funding, Inc., MONY Realty Partners, Inc., and 1740
Ventures, Inc.
3. OTHER OFFICERS
THOMAS J. CONKLIN, Senior Vice President and Secretary, MONY.
RICHARD E. CONNORS, Senior Vice President, MONY; Director, MONY Life
Insurance Company of America.
RICHARD DADDARIO, Executive Vice President and Chief Financial Officer,
MONY; Vice President, MONY Advisers, Inc.; Director, Vice President and
Controller, MONY Life Insurance Company of America.
PHILLIP A. EISENBERG, Senior Vice President and Chief Actuary, MONY;
Director and Vice President, MONY Life Insurance Company of America.
STEPHEN J. HALL, Senior Vice President, MONY; Director, MONY Life Insurance
Company of America.
RICHARD E. MULROY, JR., Senior Vice President and General Counsel, MONY.
FRANCIS J. WALDRON, Senior Vice President, MONY.
DAVID V. WEIGEL, Vice President -- Treasurer, MONY; Vice President and
Treasurer, MONY Credit Corporation, MONY Realty Partners, Inc., and 1740
Ventures, Inc.; Treasurer, 1740 Advisers, Inc., MONY Life Insurance Company of
America, MONY Series Fund, Inc., MONY Brokerage, Inc., MONY-Rockville/GP, Inc.,
MONY Bloomfield Hills, Inc., and MONY Funding, Inc.
For more than the past five years, the principal occupation of each of the
officers listed above has been an officer of MONY.
The business address for all officers and officer-trustees of the Company
is 1740 Broadway, New York, New York 10019.
ITEM 26. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH THE DEPOSITOR OR
REGISTRANT.
The following is a diagram showing all corporations directly or indirectly
controlled by or under common control with the Company, showing the state or
other sovereign power under the laws of which each is organized and the
percentage ownership of voting securities giving rise to the control
relationship. (See diagram on following page.) Omitted from the diagram are
subsidiaries of the Company that, considered in the aggregate, would not
constitute a "significant subsidiary" (as that term is defined in Rule 8b-2
under Section 8 of the Investment Company Act of 1940) of the Company.
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[ORGANIZATIONAL CHART]
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ITEM 27. NUMBER OF CERTIFICATE OWNERS:
As of December 31, 1997, MONY Variable Account A had 10,996 owners of
contracts.
ITEM 28. INDEMNIFICATION
The By-Laws of The Mutual Life Insurance Company of New York provide, in
Article XVI as follows:
Each person (and the heirs, executors and administrators of such person)
made or threatened to be made a party to any action, civil or criminal, by
reason of being or having been a trustee, officer, or employee of the
corporation (or by reason of serving any other organization at the request of
the corporation) shall be indemnified to the extent permitted by the law of the
State of New York and in the manner prescribed therein. To this end, and as
authorized by Chapter 513, 1986 Laws of New York, the Board of Trustees may
adopt all resolutions, authorize all agreements and take all actions with
respect to the indemnification of trustees and officers, and the advance payment
of their expenses in connection therewith.
Insofar as indemnification for liability arising under the Securities Act
of 1933 may be permitted to directors, officers and controlling persons of the
Registrant pursuant to the foregoing provisions, or otherwise, the Registrant
has been advised that in the opinion of the Securities and Exchange Commission
such indemnification is against public policy as expressed in the Act and is,
therefore, unenforceable. In the event that a claim for indemnification for such
liabilities (other than the payment by the Registrant of expense incurred or
paid by a director, officer, or controlling person of the Registrant in the
successful defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the securities being
registered, the Registrant, will (unless in the opinion of its counsel the
matter has been settled by controlling precedent) submit to a court of
appropriate jurisdiction the question whether such indemnification by it is
against public policy as expressed in the Act and will be governed by the final
adjudication of such issue.
ITEM 29. PRINCIPAL UNDERWRITERS
(a) MONY Securities Corp. ("MSC"), a wholly-owned subsidiary of The Mutual
Life Insurance Company of New York ("MONY"), is the principal underwriter of the
Registrant and also acts as principal underwriter for MONY Series Fund, Inc.
(the "Fund"). MONY acts as sub-investment adviser to the Fund through a services
agreement.
(b) The names, titles, and principal business addresses of the officers of
MSC are listed on Schedule A of Form BD for MSC (Registration No. 8-15289)
(originally filed on behalf of MONY Sales, Inc. on November 23, 1969) and Form
U-4 filed by each individual officer, the text of which is hereby incorporated
by reference.
(c) No commissions or other compensation was received by the principal
underwriter, directly or indirectly, from or MONY Variable Account A during
fiscal year 1997 and 1996.
ITEM 30. LOCATION OF ACCOUNTS AND RECORDS
Accounts, books, and other documents required to be maintained by Section
31(a) of the Investment Company Act of 1940 and the Rules promulgated thereunder
are maintained by The Mutual Life Insurance Company of New York, in whole or in
part, at its principal offices at 1740 Broadway, New York, New York 10019 or at
its Operations Center at 1 MONY Plaza, Syracuse, New York 13202.
ITEM 31. MANAGEMENT SERVICES
Not applicable.
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ITEM 32. UNDERTAKINGS
(a) Registrant hereby undertakes to file post-effective amendments to the
Registration Statement as frequently as is necessary to ensure that the audited
financial statements in the Registration Statement are never more than 16 months
old for so long as payments under the variable annuity contracts may be
accepted;
(b) Registrant hereby undertakes to include either (1) as part of any
application to purchase a contract offered by the prospectus, a space that an
applicant can check to request a Statement of Additional Information, or (2) a
post card or similar written communication affixed to or included in the
prospectus that the applicant can remove to send for a Statement of Additional
Information;
(c) Registrant hereby undertakes to deliver any Statement of Additional
Information and any financial statements required to be made available under
this Form promptly upon written or oral request.
REPRESENTATIONS RELATING TO SECTION 26 OF
THE INVESTMENT COMPANY ACT OF 1940
Registrant and The Mutual Life Insurance Company of New York represent that
the fees and charges deducted under the Contract, in the aggregate, are
reasonsable in relation to the expenses expected to be incurred, and the risks
assumed by The Mutual Life Insurance Company of New York.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant, MONY Variable Account A, has
duly caused this Post-Effective Amendment No. 19 to this Registration Statement
to be signed on its behalf by the undersigned thereunto duly authorized, in the
City of New York, State of New York, on this 27th day of April, 1998 and
Registrant hereby certifies that the requirements of Rule 485(b) have been met.
MONY VARIABLE ACCOUNT A
(Registrant)
THE MUTUAL LIFE INSURANCE COMPANY
OF NEW YORK
(Depositor)
By: /s/ MICHAEL I. ROTH
------------------------------------
Michael I. Roth, Trustee,
Chairman and Chief Executive Officer
Chairman, President and Chief
Executive Officer
Pursuant to the requirements of the Securities Act of 1933, this
Post-Effective Amendment No. 19 to this Registration Statement has been signed
below by the following persons in the capacities and on the date indicated.
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SIGNATURE TITLE DATE
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/s/ MICHAEL I. ROTH Trustee, Chairman and Chief April 27, 1998
- --------------------------------------------------- Executive Officer
Michael I. Roth
/s/ SAMUEL J. FOTI Trustee, President and April 27, 1998
- --------------------------------------------------- Chief Operating Officer
Samuel J. Foti
/s/ KENNETH M. LEVINE Trustee, Executive Vice April 27, 1998
- --------------------------------------------------- President
Kenneth M. Levine and Chief Investment Officer
/s/ RICHARD DADDARIO Executive Vice President April 27, 1998
- --------------------------------------------------- and Chief Financial Officer
Richard Daddario
/s/ PHILLIP A. EISENBERG Senior Vice President April 27, 1998
- --------------------------------------------------- and Chief Actuary
Phillip A. Eisenberg
/s/ THOMAS J. CONKLIN Senior Vice President April 27, 1998
- --------------------------------------------------- and Secretary
Thomas J. Conklin
* Trustee April 27, 1998
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Claude M. Ballard, Jr.
* Trustee April 27, 1998
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Tom H. Barrett
* Trustee April 27, 1998
- ---------------------------------------------------
David L. Call
* Trustee April 27, 1998
- ---------------------------------------------------
G. Robert Durham
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SIGNATURE TITLE DATE
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* Trustee April 27, 1998
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James B. Farley
* Trustee April 27, 1998
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Robert Holland, Jr.
* Trustee April 27, 1998
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James L. Johnson
* Trustee April 27, 1998
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John R. Meyer
* Trustee April 27, 1998
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Jane C. Pfeiffer
* Trustee April 27, 1998
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Thomas C. Theobald
*By: /s/ THOMAS J. CONKLIN April 27, 1998
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Thomas J. Conklin
Attorney-In-Fact
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