Nationwide Variable Account 9
10/03/2024 | Press release | Distributed by Public on 10/03/2024 11:47
Post Effective Amendment to Registration Statement by Investment Company Form 485BPOS
BOA America's Future Annuity (333-28995)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-4
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933File No. 333-28995
Pre-Effective Amendment No.
☐
Post-Effective Amendment No. 62
☒
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940File No. 811-08241
Amendment No. 196
☒
(Check appropriate box or boxes.)
Nationwide Variable Account-9
(Exact Name of Registrant)
Nationwide Life Insurance Company
(Name of Depositor)
One Nationwide Plaza, Columbus, Ohio 43215
(Address of Depositor's Principal Executive Offices) (Zip Code)
(614) 249-7111
Depositor's Telephone Number, including Area Code
Denise L. Skingle, Senior Vice President and Secretary
One Nationwide Plaza, Columbus, Ohio 43215
One Nationwide Plaza, Columbus, Ohio 43215
(Name and Address of Agent for Service)
October 3, 2024
Approximate Date of Proposed Public Offering
It is proposed that this filing will become effective (check appropriate box)
☐ immediately upon filing pursuant to paragraph (b)
☒ on October 3, 2024 pursuant to paragraph (b)
☐ 60 days after filing pursuant to paragraph (a)(1)
☐ on (date) pursuant to paragraph (a)(1)
If appropriate, check the following box:
☐ this post-effective amendment designates a new effective date for a previously filed post-effective amendment.
Supplement dated October 3, 2024
to the following statutory prospectus(es):
to the following statutory prospectus(es):
NEA Valuebuilder, NEA Valuebuilder Future and NEA Valuebuilder Select dated May 1, 2024
|
This supplement updates certain information contained in your statutory prospectus. Please read and retain
this supplement for future reference.
|
At a meeting held on May 24, 2024, the Board of Trustees of Guggenheim Variable Funds Trust, approved the merger of the Guggenheim Variable Funds Trust (the "Target Fund") into the New Age Alpha Variable Funds Trust (the "Acquiring Fund"). Subject to shareholder approval, the merger will be effective on or about October 25, 2024 (the "Effective Date").
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Target Funds
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Acquiring Funds
|
|
Guggenheim Variable Funds Trust - Series D (World Equity
Income Series)
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New Age Alpha Variable Funds Trust - NAA World Equity Income
Series
|
|
Guggenheim Variable Funds Trust - Series J (StylePlus Mid
Growth Series)
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New Age Alpha Variable Funds Trust - NAA Mid Growth Series
|
|
Guggenheim Variable Funds Trust - Series O (All Cap Value
Series)
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New Age Alpha Variable Funds Trust - NAA All Cap Value Series
|
|
Guggenheim Variable Funds Trust - Series Q (Small Cap Value
Series)
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New Age Alpha Variable Funds Trust - NAA Small Cap Value
Series
|
|
Guggenheim Variable Funds Trust - Series V (SMid Cap Value
Series)
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New Age Alpha Variable Funds Trust - NAA Smid-Cap Value
Series
|
|
Guggenheim Variable Funds Trust - Series X (StylePlus - Small
Growth Series)
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New Age Alpha Variable Funds Trust - NAA Small Growth Series
|
|
Guggenheim Variable Funds Trust - Series Y (StylePlus - Large
Growth Series)
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New Age Alpha Variable Funds Trust - NAA Large Growth Series
|
As of the Effective Date, the following changes apply to the contract:
•
the Target Funds will no longer be available to receive transfers or new purchase payments;
•
the Target Funds will transfer all or substantially all of its assets to the Acquiring Funds in exchange for shares of the Acquiring Funds; and
•
the Acquiring Funds will be added as underlying mutual funds available under the contract and will assume all liabilities of the Target Funds.
Accordingly, the following changes apply to the prospectus:
(1) Appendix A is amended to add the following:
|
Type
|
Underlying Mutual Fund and Adviser/Subadviser
|
Current
Expenses
|
Average Annual Total
Returns
(as of 12/31/2023)
|
||
|
1 year
|
5 year
|
10 year
|
|||
|
Equity
|
New Age Alpha Variable Funds Trust - NAA World Equity Income Series
Investment Advisor: New Age Alpha Advisors, LLC
|
0.86%*
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12.28%
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9.97%
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6.94%
|
|
Equity
|
New Age Alpha Variable Funds Trust - NAA Mid Growth Series
Investment Advisor: New Age Alpha Advisors, LLC
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0.92%*
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26.41%
|
12.72%
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9.97%
|
|
Equity
|
New Age Alpha Variable Funds Trust - NAA All Cap Value Series
Investment Advisor: New Age Alpha Advisors, LLC
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0.84%*
|
8.52%
|
11.41%
|
8.28%
|
|
Equity
|
New Age Alpha Variable Funds Trust - NAA Small Cap Value Series
Investment Advisor: New Age Alpha Advisors, LLC
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1.12%*
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10.28%
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10.21%
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5.55%
|
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Equity
|
New Age Alpha Variable Funds Trust - NAA Smid-Cap Value Series
Investment Advisor: New Age Alpha Advisors, LLC
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0.87%*
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9.73%
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11.98%
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7.59%
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PROS-0910
1
|
Type
|
Underlying Mutual Fund and Adviser/Subadviser
|
Current
Expenses
|
Average Annual Total
Returns
(as of 12/31/2023)
|
||
|
1 year
|
5 year
|
10 year
|
|||
|
Equity
|
New Age Alpha Variable Funds Trust - NAA Small Growth Series
Investment Advisor: New Age Alpha Advisors, LLC
|
1.04%*
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21.01%
|
9.41%
|
7.68%
|
|
Equity
|
New Age Alpha Variable Funds Trust - NAA Large Growth Series
Investment Advisor: New Age Alpha Advisors, LLC
|
0.91%*
|
39.91%
|
18.00%
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14.25%
|
*
This underlying mutual fund's current expenses reflect a temporary fee reduction.
(2) All references in the prospectus to the Target Funds are deleted and replaced with the Acquiring Funds.
PROS-0910
2
Incorporation by Reference
The statutory prospectus supplements dated June 17, 2024 and June 7, 2024 and the statutory prospectus and Statement of Additional Information, except as modified herein, that were effective May 1, 2024, previously filed with the Commission under SEC file No. 333-28995, are hereby incorporated by reference and made a part of this registration statement.
Statutory Prospectus Supplements:
1)
2)
Statutory Prospectus:
1)
Statement of Additional Information:
1
PART C. OTHER INFORMATION
Item 27. Exhibits
a)
b)
Not Applicable.
c)
Amended and Restated Distribution Agreement dated November 1, 2022 between Nationwide Life Insurance Company, Nationwide Life and Annuity Insurance Company, Jefferson National Life Insurance Company, and Nationwide Investment Services Corporation - Filed previously with Post-Effective Amendment No. 29 on November 1, 2022 (333-124048) and hereby incorporated by reference.
Underwriting or Distribution of Contracts between the Depositor and SDI as Principal Underwriter - Filed previously on April 26, 2000 with Post-Effective Amendment No. 8 to the Registration Statement (333-28995) and hereby incorporated by reference.
d)
e)
f)
Depositor's Certificate of Incorporation and By-Laws -
1)
2)
3)
g)
Reinsurance Agreements -
1)
Automatic Reinsurance Agreement between Nationwide Life Insurance Company and AXA Re Life Insurance Company (Agr 99029) effective May 1, 1999 - Filed previously with Post-Effective Amendment No. 59 to the registration statement (File No. 333-28995) on April 21, 2023 and hereby incorporated by reference. Portions of this exhibit have been redacted.
2)
Automatic Reinsurance Agreement between Nationwide Life Insurance Company and AXA Re Life Insurance Company (Agr 99016) effective May 1, 1999 - Filed previously with Post-Effective Amendment No. 59 to the registration statement (File No. 333-28995) on April 21, 2023 and hereby incorporated by reference. Portions of this exhibit have been redacted.
3)
Automatic Reinsurance Agreement between Nationwide Life Insurance Company and Swiss Re Life & Health America Inc. effective November 3, 1997 - Filed previously with Post-Effective Amendment No. 59 to the registration statement (File No. 333-28995) on April 21, 2023 and hereby incorporated by reference. Portions of this exhibit have been redacted.
h)
Form of Participation Agreements -
Unless indicated as attached hereto, the following fund participation agreements were previously filed and are hereby incorporated by reference.
2)
Fund Participation Agreement (Amended and Restated) with Alliance Capital Management L.P. and Alliance-Bernstein Investment Research and Management, Inc. dated June 1, 2003 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document alliancebernsteinfpa.htm
3)
4)
5)
6)
Participation Agreement among Nationwide Financial Services, Inc., Calvert Variable Products, Inc., and Eaton Vance Distributors, Inc., as amended, dated January 1, 2017 with the registration statement under 333-177439, post-effective amendment number 42 filed on April 25, 2024 as document d777109dex99h8.htm. Portions of this exhibit have been redacted.
7)
8)
9)
10)
11)
12)
Participation Agreement among (Fidelity) Variable Insurance Products Funds, Fidelity Distributors Company LLC, Nationwide Life Insurance Company, Nationwide Life and Annuity Insurance Company, Jefferson National Life Insurance Company, and Jefferson National Life Insurance Company of New York dated October 11, 2023 with the registration statement under 333-177439, post-effective amendment number 42 filed on April 25, 2024 as document d777109dex99h14.htm.
13)
This field is intentionally blank.
14)
This field is intentionally blank.
15)
Amended and Restated Fund Participation Agreement with Franklin Templeton Variable Insurance Products Trust and Franklin/Templeton Distributors, Inc., as amended, dated May 1, 2003 with the registration statement under 333-140608, pre-effective amendment number 1 filed on July 17, 2007 as document frankfpa99h8.htm
16)
18)
19)
20)
Fund Participation Agreement with Legg Mason Investor Services, LLC (formerly, Salomon Brothers Variable Series Funds Inc., Salomon Brothers Asset Management Inc.), as amended, dated September, 1999 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document leggmasonfpa.htm
21)
22)
Participation Agreement Among MFS Variable Insurance Trust, MFS Variable Insurance Trust II, Nationwide Financial Services, Inc., and MFS Fund Distributors, Inc., dated May 2, 2011 with the registration statement under 333-227783, post-effective amendment number 3 filed on September 9, 2019 as document d737458dex9924b24.htm
23)
Fund Participation Agreement with Nationwide Variable Insurance Trust (formerly, Gartmore Variable Insurance Trust), American Funds Insurance Series, and Capital Research and Management Company dated May 1, 2007 with the registration statement under 333-140608, pre-effective amendment number 1 filed on July 17, 2007 as document nwfpa99h12b.htm
24)
25)
Fund Participation Agreement with New Age Alpha Advisors, LLC. dated October 28, 2024 - Attached hereto. Portions of this exhibit have been redacted.
26)
27)
28)
Fund Participation Agreement with Pioneer Variable Contracts Trust, Pioneer Investment Management, Inc. and Pioneer Funds Distributor, Inc., as amended, dated September 27, 2002 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document pioneerfpa.htm
29)
30)
31)
33)
34)
Fund Participation Agreement with The Universal Institutional Funds, Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley Investment Management Inc., as amended, dated February 1, 2002 with the registration statement under 033-89560, post-effective amendment number 25 filed on April 23, 2008 as document vankampenfpa.htm
35)
Fund Participation Agreement with T. Rowe Price Equity Series, Inc., T. Rowe Price International Series, Inc., T. Rowe Price Fixed Income Series, Inc., and T. Rowe Price Investment Services, Inc., as amended, dated October 1, 2002 with the registration statement under 333-140608, pre-effective amendment number 1 filed on July 17, 2007 as document trowefpa99h15.htm
36)
Fund Participation Agreement with Van Eck Investment Trust, Van Eck Associates Corporation, and Van Eck Securities Corporation, as amended, dated September 1, 1989 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document vaneckfpa.htm
37)
38)
39)
40)
41)
Fund Participation Agreement with Nationwide Financial Services, Inc., Mutual Fund & Variable Insurance Trust, and Northern Lights Distributors, LLC, dated January 25, 2019, filed on February 7, 2019 with post-effective amendment number 20 of registration statement (333-124048) under document "d699044dex99nnn.htm"
42)
i)
Form of Administrative Contracts -
Unless indicated as attached hereto, the following administrative contracts were previously filed and are hereby incorporated by reference.
1)
2)
3)
4)
Administrative Services Agreement with BlackRock (formerly FAM Distributors, Inc., and Merrill Lynch Variable Series Funds, Inc.), as amended, dated April 13, 2004 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document blackrockasa.htm
5)
(Calvert) Administrative Service Agreement between Nationwide Financial Services, Inc. and Eaton Vance Management, as amended, dated January 1, 2017 with the registration statement under 333-177439, post-effective amendment number 42 filed on April 25, 2024 as document d777109dex99i6.htm. Portions of this exhibit have been redacted.
6)
7)
8)
9)
10)
11)
12)
Service Agreement between Fidelity Investments Institutional Operations Company LLC and Nationwide Investment Services Corporation dated October 11, 2023 with the registration statement under 333-177439, post-effective amendment number 42 as document d777109dex99i13.htm. Portions of this exhibit have been redacted.
13)
14)
15)
16)
17)
18)
19)
21)
22)
23)
24)
25)
26)
27)
Fund Administrative Services Agreement with Gemini Fund Services, LLC, Mutual Fund and Variable Insurance Trust, and Rational Advisors, Inc. as amended dated January 25, 2019 with the registration statement under 333-258296, pre-effective amendment number 2 filed on December 17, 2021 as document d259685dex99i40.htm. Portions of this exhibit have been redacted.
28)
29)
Fund Participation Agreement with Nationwide Variable Insurance Trust (formerly, Gartmore Variable Insurance Trust), American Funds Insurance Series, and Capital Research and Management Company dated May 1, 2007 with the registration statement under 333-140608, pre-effective amendment number 1 filed on July 17, 2007 as document nwfpa99h12b.htm
30)
31)
Administrative Services Agreement with New Age Alpha Advisors, LLC. dated October 28, 2024 - Attached hereto. Portions of this exhibit have been redacted.
32)
33)
34)
35)
Fund Participation Agreement with Pioneer Variable Contracts Trust, Pioneer Investment Management, Inc. and Pioneer Funds Distributor, Inc., as amended, dated September 27, 2002 with the registration statement under 333-137202, pre-effective amendment number 3 filed on September 27, 2007 as document pioneerfpa.htm
37)
38)
39)
40)
41)
42)
Administrative Services Agreement with Security Benefit Life Insurance Company dated July 1, 2000, as amended, filed with the registration statement under 002-75174, post-effective amendment number 56 filed on April 25, 2022 as document d291542dex999.htm. Portions of this exhibit have been redacted.
j)
Not Applicable.
k)
l)
Consent of Independent Registered Public Accounting Firm - Attached hereto.
m)
Not Applicable.
n)
Not Applicable.
o)
Not Applicable.
99)
Power of Attorney - Attached hereto.
Item 28. Directors and Officers of the Depositor
The business address of the Directors and Officers of the Depositor is:
One Nationwide Plaza, Columbus, Ohio 43215
One Nationwide Plaza, Columbus, Ohio 43215
|
President and Chief Operating Officer and Director
|
Carter, John L.
|
|
Executive Vice President-Chief Human Resources Officer
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Clements, Vinita J.
|
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Executive Vice President-Nationwide Chief Technology Officer
|
Fowler, James R.
|
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Executive Vice President and Director
|
Frommeyer, Timothy G.
|
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Executive Vice President-Chief Legal Officer
|
Howard, Mark S.
|
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Executive Vice President-Chief Marketing Officer
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Jones, Ramon
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Executive Vice President-Chief Customer, Strategy and Innovation Officer
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Mahaffey, Michael W.
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Executive Vice President-Chief Transformation Officer
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Shore, Amy T.
|
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Senior Vice President-NF Strategic Customer Solutions
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Ambrozy, Tina S.
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Senior Vice President-Strategic Planning
|
Amodeo, Daniel W.
|
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Senior Vice President-Marketing Management - Financial Services
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Bair, Ann S.
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Senior Vice President-Corporate Controller and Chief Accounting Officer
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Benson, James D.
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Senior Vice President-Marketing Content & Delivery
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Boyd, Michael A.
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Senior Vice President-Human Resources - IT & Legal
|
Bretz, Angela D.
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Senior Vice President-Internal Audit
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Burchwell, Jason E.
|
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Senior Vice President-Nationwide Pet
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Carnes, Joel R.M.
|
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Senior Vice President-Chief Technology Officer - Nationwide Financial
|
Carrel, Michael W.
|
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Senior Vice President-Chief Investment Officer
|
Coleman, Joel L.
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Senior Vice President-Chief Compliance Officer
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Dankovic, Rae Ann
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Senior Vice President-Chief Risk Officer
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Diem, Klaus K.
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Senior Vice President-External Affairs
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English, Steven M.
|
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Senior Vice President-Trial Division
|
Failor, Scott E.
|
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Senior Vice President-Chief Financial Officer - Nationwide Financial and Director
|
Ginnan, Steven A.
|
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Senior Vice President-Annuity Distribution
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Guymon, Rona
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Senior Vice President-Nationwide Annuity and Director
|
Hawley, Craig A.
|
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Senior Vice President-Legal - NF
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Innis-Thompson, Janice
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Senior Vice President-Investment Management Group
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Jestice, Kevin T.
|
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Senior Vice President-Internal Audit, Emeritus
|
Jordan, Gregory S.
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Senior Vice President-Chief Innovation and Digital Officer
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Kandhari, Chetan D.
|
|
Senior Vice President-Chief Technology Officer - Technology Strategy, Data &
Innovation
|
Kolp, Melanie A.
|
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Senior Vice President and Treasurer
|
LaPaul, David
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Senior Vice President-Chief Information Security Officer
|
Lukens, Todd
|
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Senior Vice President-Marketing Management - P&C
|
MacKenzie, Jennifer B.
|
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Senior Vice President-Technology CFO & Procurement
|
O'Brien, Kevin G.
|
|
Senior Vice President-Corporate Solutions
|
Perez, Juan J.
|
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Senior Vice President-Talent & Organization Effectiveness
|
Pheister, Erin R.
|
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Senior Vice President-Nationwide Retirement Institute
|
Rodriguez, Kristi L.
|
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Senior Vice President-Finance & Strategy Legal and Corporate Secretary
|
Skingle, Denise L.
|
|
Senior Vice President-Nationwide Life and Director
|
Snyder, Holly R.
|
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Senior Vice President-Total Rewards
|
Sonneman, Christopher P.
|
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Senior Vice President-Retirement Solutions
|
Stevenson, Eric
|
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Senior Vice President-Chief Advanced Analytics Officer
|
Terry, Shannon
|
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Senior Vice President-Chief Technology Officer - Property & Casualty
|
Vasudeva, Guruprasad C.
|
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Senior Vice President-Human Resources - NF
|
Webster, Cynthia S.
|
|
Director
|
Walker, Kirt A.
|
Item 29. Persons Controlled by or Under Common Control with the Depositor or Registrant.
Following is a list of entities directly or indirectly controlled by or under common control with the depositor or registrant. Ownership is indicated through indentation. Unless otherwise indicated, each subsidiary is either wholly-owned or majority-owned by the parent company immediately preceding it. (For example, Nationwide Fund Distributors, LLC is either wholly-owned or majority owned by NFS Distributors, Inc.) Separate accounts that have been established pursuant to board resolution but are not, and have never been, active are omitted.
|
Company
|
Jurisdiction
of Domicile
|
Brief Description of Business
|
|
Nationwide Financial Services, Inc.
|
Delaware
|
The company acts primarily as a holding company for
companies within the Nationwide organization that offer or
distribute life insurance, long-term savings and retirement
products.
|
|
NFS Distributors, Inc.
|
Delaware
|
The company acts primarily as a holding company for
Nationwide Financial Services, Inc. companies.
|
|
Nationwide Financial General Agency, Inc.
|
Pennsylvania
|
The company is a multi-state licensed insurance agency.
|
|
Nationwide Fund Distributors, LLC
|
Delaware
|
The company is a limited purpose broker-dealer.
|
|
Nationwide Fund Management, LLC
|
Delaware
|
The company provides administration, transfer and
dividend disbursing agent services to various mutual fund
entities.
|
|
Nationwide Retirement Solutions, Inc.
|
Delaware
|
The company markets and administers deferred
compensation plans for public employees.
|
|
Nationwide Securities, LLC
|
Delaware
|
The company is a general purpose broker-dealer and
investment adviser registered with the Securities and
Exchange Commission.
|
|
Nationwide Trust Company, FSB
|
Federal
|
This is a federal savings bank chartered by the Office of
Thrift Supervision in the United States Department of
Treasury to exercise deposit, lending, agency, custody
and fiduciary powers and to engage in activities
permissible for federal savings banks under the Home
Owners' Loan Act of 1933.
|
|
Company
|
Jurisdiction
of Domicile
|
Brief Description of Business
|
|
Nationwide Financial Services Capital Trust
|
Delaware
|
The trust's sole purpose is to issue and sell certain
securities representing individual beneficial interests in the
assets of the trust
|
|
525 Cleveland Avenue, LLC
|
Ohio
|
This is a limited liability company organized under the
laws of the State of Ohio. The company was formed to
provide remedial real property cleanup prior to sale.
|
|
Nationwide Life Insurance Company 2
|
Ohio
|
The corporation provides individual life insurance, group
and health insurance, fixed and variable annuity products
and other life insurance products.
|
|
Jefferson National Life Insurance Company2,3
|
Texas
|
The company provides life, health and annuity products.
|
|
Jefferson National Life Annuity Company C2,3
|
A separate account issuing variable annuity products.
|
|
|
Jefferson National Life Annuity Account E2,3
|
A separate account issuing variable annuity products.
|
|
|
Jefferson National Life Annuity Account F2,3
|
A separate account issuing variable annuity products.
|
|
|
Jefferson National Life Annuity Account G2,3
|
A separate account issuing variable annuity products.
|
|
|
Jefferson National Life Insurance Company of
New York2,3
|
New York
|
The company provides variable annuity products.
|
|
Jefferson National Life of New York Annuity
Account 12,3
|
A separate account issuing variable annuity products.
|
|
|
MFS Variable Account2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Multi-Flex Variable Account2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-II2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-32,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-42,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-52,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-62,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-72,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-82,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-92,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-102,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-112,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-122,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-132,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-142,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Variable Account-152,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Provident VA Separate Account 12,3
|
Pennsylvania
|
A separate account issuing variable annuity contracts.
|
|
Nationwide VLI Separate Account2,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-22,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-32,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-42,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-52,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-62,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VLI Separate Account-72,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide Provident VLI Separate Account 12,3
|
Pennsylvania
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide Investment Services Corporation3
|
Oklahoma
|
This is a limited purpose broker-dealer and distributor of
variable annuities and variable life products for
Nationwide Life Insurance Company and Nationwide Life
and Annuity Insurance Company. The company also
provides educational services to retirement plan sponsors
and its participants.
|
|
Company
|
Jurisdiction
of Domicile
|
Brief Description of Business
|
|
Nationwide Financial Assignment Company3
|
Ohio
|
The company is an administrator of structured
settlements.
|
|
Nationwide Investment Advisors, LLC3
|
Ohio
|
The company provides investment advisory services.
|
|
Eagle Captive Reinsurance, LLC3
|
Ohio
|
The company is engaged in the business of insurance
|
|
Nationwide Life and Annuity Insurance
Company2,3
|
Ohio
|
The company engages in underwriting life insurance and
granting, purchasing and disposing of annuities.
|
|
Nationwide VA Separate Account-A2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide VA Separate Account-B2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide VA Separate Account-C2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide VA Separate Account-D2,3
|
Ohio
|
A separate account issuing variable annuity contracts.
|
|
Nationwide Provident VA Separate Account
A2,3
|
Delaware
|
A separate account issuing variable annuity contracts.
|
|
Nationwide VL Separate Account-C2,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VL Separate Account-D2,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide VL Separate Account-G2,3
|
Ohio
|
A separate account issuing variable life insurance
policies.
|
|
Nationwide Provident VLI Separate Account
A2,3
|
Delaware
|
A separate account issuing variable life insurance
policies.
|
|
Olentangy Reinsurance, LLC3
|
Vermont
|
The company is a captive life reinsurance company.
|
|
Nationwide SBL, LLC
|
Ohio
|
The company is a lender offering securities-back lines of
credit.
|
|
Registered Investment Advisors Services, Inc.
|
Texas
|
The company is a technology company that facilitates
third-party money management services for registered
investment advisors
|
|
Nationwide Fund Advisors4
|
Delaware
|
The trust acts as a registered investment advisor.
|
1
This subsidiary/entity is controlled by its immediate parent through contractual association.
2
This subsidiary/entity files separate financial statements.
3
Information for this subsidiary/entity is included in the consolidated financial statements of its immediate parent.
4
This subsidiary/entity is a business trust.
Item 30. Indemnification
Provision is made in Nationwide's Amended and Restated Code of Regulations and expressly authorized by the General Corporation Law of the State of Ohio, for indemnification by Nationwide of any person who was or is a party or is threatened to be made a party to any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative by reason of the fact that such person is or was a director, officer or employee of Nationwide, against expenses, including attorneys fees, judgments, fines and amounts paid in settlement actually and reasonably incurred by such person in connection with such action, suit or proceeding, to the extent and under the circumstances permitted by the General Corporation Law of the State of Ohio.
Insofar as indemnification for liabilities arising under the Securities Act of 1933 ("Act") may be permitted to directors, officers or persons controlling Nationwide pursuant to the foregoing provisions, Nationwide has been informed 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 against such liabilities (other than the payment by the registrant of expenses 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 31. Principal Underwriter
Nationwide Investment Services Corporation ("NISC")
a)
NISC serves as principal underwriter and general distributor for the following separate investment accounts of Nationwide or its affiliates:
|
Jefferson National Life Annuity Account C
|
Nationwide Variable Account-14
|
|
Jefferson National Life Annuity Account E
|
Nationwide Variable Account-15
|
|
Jefferson National Life Annuity Account F
|
Nationwide VA Separate Account-A
|
|
Jefferson National Life Annuity Account G
|
Nationwide VA Separate Account-B
|
|
Jefferson National Life of New York Annuity Account 1
|
Nationwide VA Separate Account-C
|
|
MFS Variable Account
|
Nationwide VA Separate Account-D
|
|
Multi-Flex Variable Account
|
Nationwide VLI Separate Account
|
|
Nationwide Variable Account
|
Nationwide VLI Separate Account-2
|
|
Nationwide Variable Account-II
|
Nationwide VLI Separate Account-3
|
|
Nationwide Variable Account-3
|
Nationwide VLI Separate Account-4
|
|
Nationwide Variable Account-4
|
Nationwide VLI Separate Account-5
|
|
Nationwide Variable Account-5
|
Nationwide VLI Separate Account-6
|
|
Nationwide Variable Account-6
|
Nationwide VLI Separate Account-7
|
|
Nationwide Variable Account-7
|
Nationwide VL Separate Account-C
|
|
Nationwide Variable Account-8
|
Nationwide VL Separate Account-D
|
|
Nationwide Variable Account-9
|
Nationwide VL Separate Account-G
|
|
Nationwide Variable Account-10
|
Nationwide Provident VA Separate Account 1
|
|
Nationwide Variable Account-11
|
Nationwide Provident VA Separate Account A
|
|
Nationwide Variable Account-12
|
Nationwide Provident VLI Separate Account 1
|
|
Nationwide Variable Account-13
|
Nationwide Provident VLI Separate Account A
|
b)
Directors and Officers of NISC:
|
President and Director
|
Ambrozy, Tina S.
|
|
Senior Vice President and Secretary
|
Skingle, Denise L.
|
|
Vice President-Tax
|
Eppley, Daniel P.
|
|
Vice President and Assistant Secretary
|
Garman, David A.
|
|
Vice President-Chief Compliance Officer
|
Rabenstine, James J.
|
|
Vice President-CFO - Life Insurance
|
Wild, Keith D.
|
|
Associate Vice President-NF Compliance - Strategic Customer Solutions
|
Deleget, J. Brian
|
|
Associate Vice President and Treasurer
|
Roswell, Ewan T.
|
|
Associate Vice President and Assistant Treasurer
|
Hacker, Hope C.
|
|
Associate Vice President and Assistant Treasurer
|
Radabaugh, Nathan
|
|
Associate Vice President and Assistant Treasurer
|
Walker, Tonya G.
|
|
Assistant Secretary
|
Bowman, Heidi K.
|
|
Assistant Secretary
|
Dokko, David H.
|
|
Assistant Secretary
|
Hartman, Mark E.
|
|
Director
|
Hawley, Craig A.
|
|
Director
|
Stevenson, Eric
|
The business address of the Directors and Officers of NISC is:
One Nationwide Plaza, Columbus, Ohio 43215.
One Nationwide Plaza, Columbus, Ohio 43215.
c)
|
Name of Principal Underwriter
|
Net Underwriting
Discounts
|
Compensation on
Redemption
|
Brokerage
Commissions
|
Other
Compensation
|
|
Nationwide Investment Services Corporation
|
N/A
|
N/A
|
N/A
|
N/A
|
Security Distributors, LLC ("SDL")
a)
Security Distributors, LLC ("SDL"), a subsidiary of Security Benefit Corporation, serves as principal underwriter and general distributor for contracts issued by the following separate investment accounts of Nationwide Life Insurance Company:
|
Nationwide Multi-Flex Variable Account
|
|
|
Nationwide Variable Account-9
|
SDL also acts as principal underwriter and general distributor for contracts issued by the following separate investment accounts of Security Benefit Life Insurance Company:
|
SBL Variable Annuity Account I
|
|
|
SBL Variable Annuity Account III
|
|
|
SBL Variable Annuity Account IV
|
|
|
Security Varilife Separate Account (Security Elite Benefit)
|
|
|
Security Varilife Separate Account (Security Varilife)
|
|
|
SBL Variable Life Insurance Account (Varilife)
|
|
|
Parkstone Advantage Variable Annuity
|
|
|
Variflex Separate Account (Variflex)
|
|
|
Variflex Separate Account (Variflex ES)
|
|
|
Variable Annuity Account VIII (Variflex Extra Credit)
|
|
|
Variable Annuity Account VIII (Variflex LS)
|
|
|
Variable Annuity Account VIII (Variflex Signature)
|
|
|
Variable Annuity Account XI (Scarborough Advantage Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (AdvisorDesigns Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (AEA Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (AdvanceDesigns Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (EliteDesigns Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (EliteDesigns II Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (NEA Valuebuilder)
|
|
|
SBL Variable Annuity Account XIV (NEA Valuebuilder Retirement Income Director
Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (SecureDesigns Variable Annuity)
|
|
|
SBL Variable Annuity Account XIV (Security Benefit Advisor Variable Annuity)
|
|
|
SBL Variable Annuity Account XVII (Classic Strategies Variable Annuity)
|
|
|
SBL Variable Annuity Account XVII (ThirdFed Variable Annuity)
|
|
|
T. Rowe Price Variable Annuity Account
|
SDL also acts as principal underwriter and general distributor for contracts issued by the following separate investment accounts of First Security Benefit Life Insurance and Annuity Company of New York:
|
Variable Annuity Account A (AdvisorDesigns Variable Annuity)
|
|
|
Variable Annuity Account A (EliteDesigns Variable Annuity)
|
|
|
Variable Annuity Account A (EliteDesigns II Variable Annuity)
|
|
|
Variable Annuity Account B (SecureDesigns Variable Annuity)
|
|
|
Variable Annuity Account B (AdvanceDesigns Variable Annuity)
|
|
|
T. Rowe Price Variable Annuity Account of First Security Benefit Life Insurance
and Annuity Company of New York
|
b)
Directors and Officers of SDL:
|
Name and Principal Business Address*
|
Position and Offices with Underwriter
|
|
David G. Byrnes
|
President and Head of Distribution
|
|
Christopher L. Brown
|
Chief Financial Officer, Treasurer and Finance and
Operations Principal
|
|
Gregory C. Garhart
|
Assistant Vice President, Chief Compliance Officer
and AML Compliance Officer
|
|
James J. Kiley
|
Senior Vice President, Education Market and
Affiliates
|
|
Kurt E. Auleta
|
Senior Vice President, Western Division
|
|
Justin A. Jacquinot
|
Senior Vice President, Direct Relationships
|
|
Michael T. Maghini
|
Senior Vice President, National Accounts
|
|
Michael K. Reidy
|
Senior Vice President
|
|
Matthew V. Rocha
|
Senior Vice President, Eastern Division
|
|
Kevin M. Watt
|
Senior Vice President
|
|
Christopher D. Swickard
|
Vice President and Secretary
|
|
Carmen R. Hill
|
Vice President and Assistant Secretary
|
|
Donald A. Wiley
|
Vice President
|
|
Mark J. Carr
|
Assistant Vice President
|
|
Aaron M. Tallen
|
Assistant Vice President, Internal Sales and
Distribution Operations
|
|
Susan J. Lacey
|
Assistant Treasurer
|
|
Lisa M. Young
|
Assistant Treasurer
|
* For all persons listed, the principal business address is One Security Benefit Place, Topeka, Kansas 66636-0001.
c)
|
Name of Principal Underwriter
|
Net Underwriting
Discounts
|
Compensation on
Redemption
|
Brokerage
Commissions
|
Other
Compensation
|
|
Security Distributors, LLC
|
$0
|
$0
|
$0
|
$0
|
Item 32. Location of Accounts and Records
Steven A. Ginnan
Nationwide Life Insurance Company
One Nationwide Plaza
Columbus, OH 43215
Nationwide Life Insurance Company
One Nationwide Plaza
Columbus, OH 43215
Item 33. Management Services
Not Applicable
Item 34. Fee Representation
Nationwide Life Insurance Company represents that the fees and charges deducted under the contract in the aggregate are reasonable in relation to the services rendered, the expenses expected to be incurred and risks assumed by Nationwide Life Insurance Company.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets the requirements of Rule 485(b) under the Securities Act of 1933 for effectiveness of the Registration Statement and has duly caused this registration statement to be signed on its behalf by the undersigned, duly authorized, in the City of Columbus, and State of Ohio, on October 3, 2024.
|
Nationwide Variable Account-9
|
|
(Registrant)
|
|
By: /s/ John L. Carter*
|
|
John L. Carter
President and Chief Operating Officer
|
|
Nationwide Life Insurance Company
|
|
(Depositor)
|
|
By: /s/ John L. Carter*
|
|
John L. Carter
President and Chief Operating Officer
|
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities indicated, on October 3, 2024.
|
/s/ JOHN L. CARTER*
|
|
|
John L. Carter, President and Chief Operating Officer
and Director (Principal Executive Officer)
|
|
|
/s/ HOLLY R. SNYDER*
|
|
|
Holly R. Snyder, Senior Vice President and Director
|
|
|
/s/ TIMOTHY G. FROMMEYER*
|
|
|
Timothy G. Frommeyer, Executive Vice President and
Director
|
|
|
/s/ CRAIG A. HAWLEY*
|
|
|
Craig A. Hawley, Senior Vice President-Nationwide
Annuity and Director
|
|
|
/s/ STEVEN A. GINNAN*
|
|
|
Steven A. Ginnan, Senior Vice President-Chief Financial
Officer-Nationwide Financial and Director
(Chief Financial Officer)
|
|
|
/s/ KIRT A. WALKER*
|
|
|
Director
|
|
|
/s/ JAMES D. BENSON*
|
|
|
James D. Benson, Senior Vice President-Corporate
Controller and Chief Accounting Officer
(Principal Accounting Officer)
|
|
|
*By: /s/ Jamie Ruff Casto
|
|
|
Jamie Ruff Casto
Attorney-in-Fact
Pursuant to Power of Attorney
|