UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AMERICAN INTERNATIONAL GROUP INC 175 WATER STREET NEW YORK, NY 10038 |
 |  |  | See Remarks section |
/s/ Geoffrey Cornell, Authorized Person | 11/06/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | American General Life Insurance Company, an indirectly wholly owned subsidiary of American International Group, Inc. ("AIG"), directly holds the Series V Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series V Senior Unsecured Notes. |
(2) | The Variable Annuity Life Insurance Company, an indirectly wholly owned subsidiary of AIG, directly holds the Series W Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series W Senior Unsecured Notes. |
(3) | American Home Assurance Company and The Variable Annuity Life Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $4,000,000 principal amount and $5,000,000 principal amount, respectively, of the Series FF Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series FF Senior Unsecured Notes. |
(4) | Eaglestone Reinsurance Company and The Variable Annuity Life Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $2,300,000 principal amount and $7,700,000 principal amount, respectively, of the Series GG Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series GG Senior Unsecured Notes. |
(5) | American Home Assurance Company, The United States Life Insurance Company in The City of New York and United Guaranty Mortgage Insurance Company of North Carolina, each an indirectly wholly owned subsidiary of AIG, directly hold $6,425,000 principal amount, $13,225,000 principal amount and $350,000 principal amount, respectively, of the Series KK Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series KK Senior Unsecured Notes. |
(6) | American Home Assurance Company, National Union Fire Insurance Company of Pittsburgh, PA and United Guaranty Residential Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $16,014,900 principal amount, $16,000,000 principal amount and $985,100 principal amount, respectively, of the Series LL Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series LL Senior Unsecured Notes. |
(7) | American Home Assurance Company, National Union Fire Insurance Company of Pittsburgh, PA and United Guaranty Residential Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $4,701,500 principal amount, $5,000,000 principal amount and $298,500 principal amount, respectively, of the Series MM Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series MM Senior Unsecured Notes. |
(8) | American General Life Insurance Company and United Guaranty Residential Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $14,750,000 principal amount and $250,000 principal amount, respectively, of the Series OO Senior Unsecured Notes. AIG is an indirect beneficial owner of the Series OO Senior Unsecured Notes. |
(9) | American General Life Insurance Company, American Home Assurance Company and United Guaranty Mortgage Insurance Company of North Carolina, each an indirectly wholly owned subsidiary of AIG, directly hold $13,300,000 principal amount, $6,500,000 principal amount and $200,000 principal amount, respectively, of the Series H Mandatorily Redeemable Preferred Shares. AIG is an indirect beneficial owner of the Series H Mandatorily Redeemable Preferred Shares. |
(10) | American Home Assurance Company and The Variable Annuity Life Insurance Company, each an indirectly wholly owned subsidiary of AIG, directly hold $2,000,000 principal amount and $4,000,000 principal amount, respectively, of the Series I Mandatorily Redeemable Preferred Shares. AIG is an indirect beneficial owner of the Series I Mandatorily Redeemable Preferred Shares. |
 Remarks: Filed pursuant to Section 30(h) of the Investment Company Act of 1940. The referenced senior debt securities are securities which the Reporting Person is informed represent, in the aggregate, in excess of 10% of the senior debt securities of the Issuer. Although the Reporting Person is informed that the referenced mandatorily redeemable preferred shares represent, in aggregate, less than 10% of the mandatorily redeemable preferred shares of the Issuer, they are included on this Form 3 pursuant to General Instruction 5(a). |