The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
| | OMB APPROVAL | | OMB Number: | 3235-0076 | | Expires: | August 31, 2015 | | Estimated average burden | | hours per response: | 4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) | Previous Names | | Entity Type |
|---|
| 0001132213 | | HANCOCK JOHN VARIABLE LIFE ACCOUNT PPM1-V | | HANCOCK JOHN VARIABLE LIFE ACCOUNT PPM-1 |
| | Corporation | | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | X | Other (Specify) |
|
| Name of Issuer |
|---|
| JOHN HANCOCK VARIABLE LIFE ACCOUNT PPM1-V |
| Jurisdiction of Incorporation/Organization |
|---|
| MASSACHUSETTS |
| Year of Incorporation/Organization |
|---|
| X | Over Five Years Ago | | Within Last Five Years (Specify Year) | | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| JOHN HANCOCK VARIABLE LIFE ACCOUNT PPM1-V |
| Street Address 1 | Street Address 2 |
|---|
| 197 Clarendon Street | |
| City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
|---|
| Boston | MASSACHUSETTS | 02116 | 800-521-1234 |
3. Related Persons
| Last Name | First Name | Middle Name |
|---|
| John Hancock Life Insurance Company (USA) | John | |
| Street Address 1 | Street Address 2 |
|---|
| 197 Clarendon Street | |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Boston | MASSACHUSETTS | 02116 |
| Relationship: | | Executive Officer | | Director | X | Promoter |
|---|
Clarification of Response (if Necessary):
4. Industry Group
| | Agriculture | | Banking & Financial Services | | | | Commercial Banking | | | Insurance | | | Investing | | | Investment Banking | | X | Pooled Investment Fund | | | | Hedge Fund | | | Private Equity Fund | | | Venture Capital Fund | | X | Other Investment Fund |
| |
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
| | | | | Other Banking & Financial Services |
| | | Business Services | | Energy | | | | | | | | | | | | |
| | Health Care | | | | | | | | | | | | | Manufacturing | | Real Estate | | | | | | | | | | |
| | Retailing | | Restaurants | | Technology | | | | | | | | Travel | | | | | | | | Tourism & Travel Services |
| | | | Other |
|
5. Issuer Size
| Revenue Range | OR | Aggregate Net Asset Value Range |
|---|
|
| No Revenues |
| No Aggregate Net Asset Value |
|
| $1 - $1,000,000 |
| $1 - $5,000,000 |
|
| $1,000,001 - $5,000,000 |
| $5,000,001 - $25,000,000 |
|
| $5,000,001 - $25,000,000 |
| $25,000,001 - $50,000,000 |
|
| $25,000,001 - $100,000,000 |
| $50,000,001 - $100,000,000 |
|
| Over $100,000,000 |
| Over $100,000,000 |
|
| Decline to Disclose | X | Decline to Disclose |
|
| Not Applicable |
| Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select
all that apply)
| | Rule 504(b)(1) (not (i), (ii) or (iii)) | | X | Investment Company Act Section 3(c) | |
| Section 3(c)(1) |
| Section 3(c)(9) |
| |
| Section 3(c)(2) |
| Section 3(c)(10) |
| |
| Section 3(c)(3) |
| Section 3(c)(11) |
| |
| Section 3(c)(4) |
| Section 3(c)(12) |
| |
| Section 3(c)(5) |
| Section 3(c)(13) |
| |
| Section 3(c)(6) |
| Section 3(c)(14) |
| |
|
|
|
| Rule 504 (b)(1)(i) |
|
| Rule 504 (b)(1)(ii) |
|
| Rule 504 (b)(1)(iii) |
|
| Rule 505 |
|
| Rule 506(b) |
| X | Rule 506(c) |
|
| Securities Act Section 4(a)(5) |
|
| |
7. Type of Filing
|
| New Notice | | Date of First Sale | 2000-11-24 | |
| First Sale Yet to Occur |
| X | Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than
one year? | | |
9. Type(s) of Securities Offered (select all that apply)
|
| Equity | X | Pooled Investment Fund Interests |
|
| Debt |
| Tenant-in-Common Securities |
|
| Option, Warrant or Other Right to Acquire Another
Security |
| Mineral Property Securities |
|
| Security to be Acquired Upon Exercise of Option,
Warrant or Other Right to Acquire Security | X | Other (describe) |
| |
10. Business Combination Transaction
| Is this offering being made in connection with a
business combination transaction, such as a merger, acquisition or
exchange offer? | | |
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor | $250,000 | USD |
12. Sales Compensation
| Recipient | | Recipient CRD Number |
| None |
|
| Andrew A Goldman | 1023255 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| EQUITABLE ADVISORS, LLC | 6627 |
| Street Address 1 | Street Address 2 |
|---|
| 40 MONUMENT RD. | STE. 107 |
| City | State/Province/Country | ZIP/Postal Code |
| BALA CYNWYD | PENNSYLVANIA | 19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Brent Kinetz | 2031620 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 60 E 42nd St. | Floor 44 |
| City | State/Province/Country | ZIP/Postal Code |
| NEW YORK | NEW YORK | 10165 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Clune J Walsh III | 1435435 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Clune J Walsh Jr | 457946 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David D Ehlert | 1181878 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 116 NORTH PLEASANT AVE. | |
| City | State/Province/Country | ZIP/Postal Code |
| LODI | CALIFORNIA | 95240 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David J Carroll | 2355967 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| KESTRA INVESTMENT SERVICES, LLC | 42046 |
| Street Address 1 | Street Address 2 |
|---|
| 260 Sheridan Ave | Suite 210 |
| City | State/Province/Country | ZIP/Postal Code |
| Palo Alto | CALIFORNIA | 94306 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David J Taylor | 1744231 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David W Goldberg | 223902 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Don E Garlikov | 217998 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| THE LEADERS GROUP, INC. | 37157 |
| Street Address 1 | Street Address 2 |
|---|
| 41 South High Street | Suite 3400 |
| City | State/Province/Country | ZIP/Postal Code |
| Columbus | OHIO | 43215 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Donald Friedman | 1023219 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Donald Mehlig | 331212 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Ezra Ripple | 400078 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 29 SOUTH MAIN ST. | STE 311 |
| City | State/Province/Country | ZIP/Postal Code |
| WEST HARTFORD | CONNECTICUT | 06107 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Gary Sitzmann | 700501 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Guy Richard Thomas | 2192760 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| H Richard Wehmeier | 833473 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| EXECUTIVE SERVICES SECURITIES, LLC | 25299 |
| Street Address 1 | Street Address 2 |
|---|
| 3445 Peachtree Road NE | Suite 200 |
| City | State/Province/Country | ZIP/Postal Code |
| Atlanta | GEORGIA | 30326 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| H Thomas Hollinger | 248711 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 131 CONTINENTAL DR. | STE 206 |
| City | State/Province/Country | ZIP/Postal Code |
| NEWARK | DELAWARE | 19713 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Harry Levitt | 1834408 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| THE LEADERS GROUP, INC. | 37157 |
| Street Address 1 | Street Address 2 |
|---|
| 3388 Founders Road | Suite 100 |
| City | State/Province/Country | ZIP/Postal Code |
| Indianapolis | INDIANA | 46268 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| J Davis Hunter | 253478 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 7979 E TUFTS | SUITE 1550 |
| City | State/Province/Country | ZIP/Postal Code |
| DENVER | COLORADO | 80237 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James A Cheney | 45355 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 6756 EXECUTIVE OAK LANE | |
| City | State/Province/Country | ZIP/Postal Code |
| CHATTANOOGA | TENNESSEE | 37421 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James Davis | 843079 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 200 MAYFAIR ROAD | |
| City | State/Province/Country | ZIP/Postal Code |
| NASHVILLE | TENNESSEE | 37205 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James E Cleary | 2135040 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 13986 W. BOWLES AVENUE | Suite 200 |
| City | State/Province/Country | ZIP/Postal Code |
| LITTLETON | COLORADO | 80127 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James Kornreich | 1300536 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 350 Madison Avenue | 7th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| NEW YORK | NEW YORK | 10017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James Roberson | 2740735 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1 POST | SUITE 150 |
| City | State/Province/Country | ZIP/Postal Code |
| IRVINE | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jim Clary | 2081542 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 20551 N Pima Road | Suite 200 |
| City | State/Province/Country | ZIP/Postal Code |
| Scottsdale | ARIZONA | 85255 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John D Becker | 16358 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Becker & Suffern, Ltd | 39905 |
| Street Address 1 | Street Address 2 |
|---|
| 1245 West Causeway | |
| City | State/Province/Country | ZIP/Postal Code |
| Mandeville | LOUISIANA | 70471 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John M Barry | 1189629 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1100 KENILWORTH AVE. | STES 110 |
| City | State/Province/Country | ZIP/Postal Code |
| CHARLOTTE | NORTH CAROLINA | 28204 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John M. Barry | 1189629 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Wachovia Insurance Services Broker Dealer, Inc | 35419 |
| Street Address 1 | Street Address 2 |
|---|
| 301 South College St | 19th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| Charlotte | NORTH CAROLINA | 28202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John Meisenbach | 331389 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jordon R Katz | 1591395 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 5 REVERE DRIVE | Suite 550 |
| City | State/Province/Country | ZIP/Postal Code |
| NORTHBROOK | ILLINOIS | 60062 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Lawton Nease | 345467 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 2000 RIVEREDGE PARKWAY | SUITE 700 |
| City | State/Province/Country | ZIP/Postal Code |
| ATLANTA | GEORGIA | 30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Luther Lockwood | 2082331 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 301 S McDowell Street | Suite 1100 |
| City | State/Province/Country | ZIP/Postal Code |
| Charlotte | NORTH CAROLINA | 28204 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Michael J Kiley | 851062 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| SPIRE SECURITIES, LLC | 144131 |
| Street Address 1 | Street Address 2 |
|---|
| 2050 Main Street | Suite 950 |
| City | State/Province/Country | ZIP/Postal Code |
| IRVINE | CALIFORNIA | 92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Milton H Cohn | 840000 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 5090 N. 40th STREET | Suite 180 |
| City | State/Province/Country | ZIP/Postal Code |
| PHOENIX | ARIZONA | 85018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Morey H Goldberg | 1741133 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| CMS Investment Resources | 10102 |
| Street Address 1 | Street Address 2 |
|---|
| 308 East Lancaster Ave | |
| City | State/Province/Country | ZIP/Postal Code |
| Wynnewood | PENNSYLVANIA | 19096-2145 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Paul Silberberg | 1014371 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| CMS Investment Resources | 10102 |
| Street Address 1 | Street Address 2 |
|---|
| 308 East Lancaster Ave | |
| City | State/Province/Country | ZIP/Postal Code |
| Wynnewood | PENNSYLVANIA | 19096-2145 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number | X | None |
|
| Peter S Miller | |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| CMS Investment Resources | 10102 |
| Street Address 1 | Street Address 2 |
|---|
| 308 East Lancaster Ave | |
| City | State/Province/Country | ZIP/Postal Code |
| Wynnewood | PENNSYLVANIA | 19096-2145 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Richard F Swider | 842878 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 1415 PANTHER LANE | STE 237 |
| City | State/Province/Country | ZIP/Postal Code |
| NAPLES | FLORIDA | 34109 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Stephen C Brown | 33028 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 175 DERBY STREET | SUITE 14 |
| City | State/Province/Country | ZIP/Postal Code |
| HINGHAM | MASSACHUSETTS | 02043 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Todd Mezrah | 2313891 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 5690 W CYPRESS STREET | STE A |
| City | State/Province/Country | ZIP/Postal Code |
| TAMPA | FLORIDA | 33607 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Tom Provow | 709844 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 315 Robert Rose Drive | Suite B |
| City | State/Province/Country | ZIP/Postal Code |
| MURFREESBORO | TENNESSEE | 37129 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Vernon Holleman III | 2594098 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1701 PENNSYLVANIA AVENUE NW | Suite 200 |
| City | State/Province/Country | ZIP/Postal Code |
| WASHINGTON | DISTRICT OF COLUMBIA | 20006 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Brad Morgan | 2244721 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 2101 EAST COAST HWY | Suite 120 |
| City | State/Province/Country | ZIP/Postal Code |
| CORONA DEL MAR | CALIFORNIA | 92625 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Daniel J Wagner | 2653222 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David W Freely | 2569271 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Stephen Karp | 4418945 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| OSAIC WEALTH, INC. | 23131 |
| Street Address 1 | Street Address 2 |
|---|
| 5310 NW 33 AVE. | Suite 206 |
| City | State/Province/Country | ZIP/Postal Code |
| FORT LAUDERDALE | FLORIDA | 33309 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Paul MacCaskill | 1152028 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Gerald I Applefield | 1022428 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1100 KENILWORTH AVE. | STES 110 |
| City | State/Province/Country | ZIP/Postal Code |
| Charlotte | NORTH CAROLINA | 28204 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Patrick Trammell | 1786493 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David Byers | 2653460 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 850 Shades Creek Parkway | Suite 300 |
| City | State/Province/Country | ZIP/Postal Code |
| Birmingham | ALABAMA | 35209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| William Wood | 1046243 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 2003 CAHABA RD | STE 201 |
| City | State/Province/Country | ZIP/Postal Code |
| MOUNTAIN BROOKS | ALABAMA | 35223 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Michael Corrigan | 865125 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities, Inc. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 138 Powers Avenue | |
| City | State/Province/Country | ZIP/Postal Code |
| SANTA BARBARA | CALIFORNIA | 93103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Richard Snipes | 2182199 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| RAYMOND JAMES & ASSOCIATES, INC. | 705 |
| Street Address 1 | Street Address 2 |
|---|
| 2625 Enterprise Drive | |
| City | State/Province/Country | ZIP/Postal Code |
| Anderson | INDIANA | 46013 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Anne Trinh | 4590072 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| KESTRA INVESTMENT SERVICES, LLC | 42046 |
| Street Address 1 | Street Address 2 |
|---|
| 9951 Anderson Mill Road | |
| City | State/Province/Country | ZIP/Postal Code |
| Austin | TEXAS | 78750 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Brian Becker | 2737680 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Prospera Financial Services, Inc. | 10740 |
| Street Address 1 | Street Address 2 |
|---|
| 1245 West Causeway Approach | |
| City | State/Province/Country | ZIP/Postal Code |
| Mandeville | LOUISIANA | 70471 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Daphne Boyle | 4559660 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1850 MT. DIABLO BLVD | Suite 430 |
| City | State/Province/Country | ZIP/Postal Code |
| WALNUT CREEK | CALIFORNIA | 94596 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Donald E. Morris, Jr. | 1076088 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1850 MT. DIABLO BLVD | Suite 430 |
| City | State/Province/Country | ZIP/Postal Code |
| WALNUT CREEK | CALIFORNIA | 94596 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Eric Naison-Phillips | 5155539 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 60 E 42nd St. | Floor 44 |
| City | State/Province/Country | ZIP/Postal Code |
| NEW YORK | NEW YORK | 10165 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| SBHU Life Agency, Inc. | 161287 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| SBHU Life Agency, Inc. | 161287 |
| Street Address 1 | Street Address 2 |
|---|
| 1345 Avenue of the Americas | Floor 22 |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10105 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Senta Fean | 4268642 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 50 SOUTH 16TH STREET | 17TH FLOOR |
| City | State/Province/Country | ZIP/Postal Code |
| PHILADELPHIA | PENNSYLVANIA | 19102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Shirley Ann Huang McMillan | 2745761 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M Holdings Securities | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW Couch Street | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Portland | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Timothy McLanahan | 2356791 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Prospera Financial Services, Inc. | 10740 |
| Street Address 1 | Street Address 2 |
|---|
| 1245 West Causeway Approach | |
| City | State/Province/Country | ZIP/Postal Code |
| Mandeville | LOUISIANA | 70471 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Lorrie Baldevia | 4178122 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1325 4TH AVENUE | SUITE 2100 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Robert Hotaling | 3100218 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| INNOVATION PARTNERS LLC | 146344 |
| Street Address 1 | Street Address 2 |
|---|
| 5950 FAIRVIEW ROAD | SUITE 140 |
| City | State/Province/Country | ZIP/Postal Code |
| CHARLOTTE | NORTH CAROLINA | 28210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| George T. Papanier | 6267030 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| LION STREET FINANCIAL, LLC | 165828 |
| Street Address 1 | Street Address 2 |
|---|
| 50 SOUTH 16TH STREET | 17TH FLOOR |
| City | State/Province/Country | ZIP/Postal Code |
| PHILADELPHIA | PENNSYLVANIA | 19102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Robert Kozloski | 3060557 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 6756 EXECUTIVE OAK LANE | |
| City | State/Province/Country | ZIP/Postal Code |
| CHATTANOOGA | TENNESSEE | 37421 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| LeeAnn Swider | 2839832 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| ASCENSUS BROKER DEALER SERVICES, LLC | 36478 |
| Street Address 1 | Street Address 2 |
|---|
| 300 Primera Blvd. | SUITE 200 |
| City | State/Province/Country | ZIP/Postal Code |
| Lake Mary | FLORIDA | 32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Kevin Segal | 3092034 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| M HOLDINGS SECURITIES, INC. | 43285 |
| Street Address 1 | Street Address 2 |
|---|
| 1125 NW COUCH ST. | SUITE 900 |
| City | State/Province/Country | ZIP/Postal Code |
| PORTLAND | OREGON | 97209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
13. Offering and Sales Amounts
| Total Offering Amount | $ | USD | |
| Total Amount Sold | $1,418,892,507 | USD |
| Total Remaining to be Sold | $ | USD | |
Clarification of Response (if Necessary):
14. Investors
| Select if securities in the offering have been or may
be sold to persons who do not qualify as accredited investors, and
enter the number of such non-accredited investors who already have
invested in the offering. | |
| Regardless of whether securities in the offering have
been or may be sold to persons who do not qualify as accredited
investors, enter the total number of investors who already have
invested in the offering: | |
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and
finders fees expenses, if any. If the amount of an expenditure is not
known, provide an estimate and check the box next to the amount.
| Sales Commissions | $50,597,483 | USD | |
| Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the
persons required to be named as executive officers, directors or
promoters in response to Item 3 above. If the amount is unknown,
provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
As the issuer of the variable life insurance policies, JH Variable Life Ins. Co. will receive amounts from charges deducted under the policies, but no executive officer, director, or promoter will receive any portion of the gross offering proceeds.Signature and Submission
Please verify the information you have entered and review
the Terms of Submission below before signing and clicking SUBMIT below
to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is
filed of the offering of
securities described and undertaking to furnish them, upon written request,
in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and,
the Securities Administrator
or other legally designated officer of the State in which the
issuer maintains its principal
place of business and any State in which this notice is filed, as its
agents for service of
process, and agreeing that these persons may accept service on its
behalf, of any notice,
process or pleading, and further agreeing that such service may be made
by registered or
certified mail, in any Federal or state action, administrative proceeding,
or arbitration
brought against it in any place subject to the jurisdiction of the
United States, if the
action, proceeding or arbitration (a) arises out of any activity in
connection with the
offering of securities that is the subject of this notice, and (b) is
founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the
Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company
Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of
these statutes, or (ii)
the laws of the State in which the issuer maintains its principal
place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Rule 505
exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule
505(b)(2)(iii) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the
contents to be true, and has duly caused this notice to be signed on
its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or
characters adopted or authorized as the signer's signature.
| Issuer | Signature | Name of Signer | Title | Date |
|---|
| JOHN HANCOCK VARIABLE LIFE ACCOUNT PPM1-V | /s/ Michael A. Ramirez | Michael A. Ramirez | AVP & Senior Counsel, John Hancock Life Insurance Co. (USA) | 2026-06-23 |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a)
of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11,
1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of
this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering
that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and
can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their
anti-fraud authority.