10-Q: Quarterly report [Sections 13 or 15(d)]
Published on
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 10-Q
(Mark One)
X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
- --- EXCHANGE ACT OF 1934 [FEE REQUIRED]
For the quarterly period ended September 30, 2001
OR
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
- --- EXCHANGE ACT OF 1934 [NO FEE REQUIRED]
Commission file number 333-18053
PRUCO LIFE INSURANCE COMPANY
OF NEW JERSEY
(Exact name of Registrant as specified in its charter)
New Jersey 22-2426091
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(State or other (IRS Employer Identification No.)
jurisdiction, incorporation or organization)
213 Washington Street, Newark, New Jersey 07102
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(Address of principal executive offices) (Zip Code)
(973) 802-3274
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(Registrant's Telephone Number, including area code)
Securities registered pursuant to Section 12 (b) of the Act: NONE
Securities registered pursuant to Section 12 (g) of the Act: NONE
Indicate by check mark whether the Registrant (1) has filed all reports required
to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934
during the preceding 12 months (or for such shorter period that the registrant
was required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. YES X NO
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State the aggregate market value of the voting stock
held by non-affiliates of the registrant: NONE
Indicate the number of shares outstanding of each of the registrant's
classes of common stock, as of November 14, 2001. Common stock,
par value of $5 per share: 400,000 shares outstanding
Pruco Life Insurance Company of New Jersey meets the conditions set forth
in General Instruction (H) (1) (a) and (b) on Form 10-Q and is therefore
filing this Form with the reduced disclosure format.
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PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY
INDEX TO FINANCIAL STATEMENTS
2
Pruco Life Insurance Company of New Jersey
Statements of Financial Position
As of September 30, 2001 and December 31, 2000 (In Thousands)
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See Notes to Financial Statements
3
Pruco Life Insurance Company of New Jersey
Statements of Operations and Comprehensive Income (Unaudited)
Nine and Three Months Ended September 30, 2001 and 2000 (In Thousands)
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See Notes to Financial Statements
4
Pruco Life Insurance Company of New Jersey
Statements of Changes in Stockholder's Equity (Unaudited)
Periods ended September 30, 2001 and December 31, 2000 and 1999(In Thousands)
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See Notes to Financial Statements
5
Pruco Life Insurance Company of New Jersey
Statements of Cash Flows (Unaudited)
Nine Months Ended September 30, 2001 and 2000 (In Thousands)
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See Notes to Financial Statements
6
Pruco Life Insurance Company of New Jersey
Notes to Financial Statements
(Unaudited)
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1. BASIS OF PRESENTATION
The accompanying interim financial statements have been prepared pursuant to the
rules and regulations for reporting on Form 10-Q on the basis of accounting
principles generally accepted in the United States. These interim financial
statements are unaudited but reflect all adjustments which, in the opinion of
management, are necessary to provide a fair presentation of the results of
operations and financial condition of the Pruco Life Insurance Company of New
Jersey ("the Company"), for the interim periods presented. The Company is a
wholly-owned subsidiary of the Pruco Life Insurance Company ("Pruco Life") which
in turn is a wholly-owned subsidiary of The Prudential Insurance Company of
America ("Prudential"). All such adjustments are of a normal recurring nature.
The results of operations for any interim period are not necessarily indicative
of results for a full year. Certain amounts in the Company's prior year
financial statements have been reclassified to conform to the 2001 presentation.
These financial statements should be read in conjunction with the financial
statements and notes thereto contained in the Company's Annual Report on Form
10-K for the year ended December 31, 2000.
2. CONTINGENCIES AND LITIGATION
Prudential and the Company are subject to legal and regulatory actions in the
ordinary course of our businesses, including class actions. Pending legal and
regulatory actions include proceedings relating to aspects of our businesses and
operations that are specific to the Company and Prudential and that are typical
of the businesses in which the Company and Prudential operate. Some of these
proceedings have been brought on behalf of various alleged classes of
complaints. In certain of these matters, the plaintiffs are seeking large and/or
indeterminate amounts, including punitive or exemplary damages.
Beginning in 1995, regulatory authorities and customers brought significant
regulatory actions and civil litigation against the Company and Prudential
involving individual life insurance sales practices. In 1996, Prudential, on
behalf of itself and many of its life insurance subsidiaries including the
Company entered into settlement agreements with relevant insurance regulatory
authorities and plaintiffs in the principal life insurance sales practices class
action lawsuit covering policyholders of individual permanent life insurance
policies issued in the United States from 1982 to 1995. Pursuant to the
settlements, the companies agreed to various changes to their sales and business
practices controls, to a series of fines, and to provide specific forms of
relief to eligible class members. Virtually all claims by class members filed in
connection with the settlements have been resolved and virtually all aspects of
the remediation program have been satisfied. While the approval of the class
action settlement is now final, Prudential and the Company remain subject to
oversight and review by insurance regulators and other regulatory authorities
with respect to its sales practices and the conduct of the remediation program.
The U.S. District Court has also retained jurisdiction as to all matters
relating to the administration, consummation, enforcement and interpretation of
the settlements. As of June 30, 2001, virtually all aspects of the settlement
have been satisfied.
As of September 30, 2001, Prudential and/or the Company remained a party to
approximately 44 individual sales practices actions filed by policyholders who
"opted out" of the class action settlement relating to permanent life insurance
policies issued in the United States between 1982 and 1995. In addition, there
were 36 sales practices actions pending that were filed by policyholders who
were members of the class and who failed to "opt out" of the class action
settlement. Prudential and the Company believe that those actions are governed
by the class settlement release and expect them to be enjoined and/or dismissed.
Additional suits may be filed by class members who "opted out" of the class
settlements or who failed to "opt out" but nevertheless seek to proceed against
Prudential and/or the Company. A number of the plaintiffs in these cases seek
large and/or indeterminate amounts, including punitive or exemplary damages.
Some of these actions are brought on behalf of multiple plaintiffs. It is
possible that substantial punitive damages might be awarded in any of these
actions and particularly in an action involving multiple plaintiffs.
Prudential has indemnified the Company for any liabilities incurred in
connection with sales practices litigation covering policyholders of individual
permanent life insurance policies issued in the United States from 1982 to 1995.
On August 13, 2000, plaintiffs filed a purported national class action against
us in the District Court of Valencia County, New Mexico, Azar, et al. v.
Prudential, based upon the alleged failure to adequately disclose the increased
costs associated with payment of life insurance premiums on a "modal" basis,
i.e., more frequently than once a year. Similar actions have been filed in New
Mexico against over a dozen other insurance companies. The complaint includes
allegations that we should have disclosed to each policyholder who paid for
coverage on a modal basis the dollar cost difference between the modal premium
and the annual premium required for the policy, as well as the effective annual
percentage rate of interest of such difference. Based on these allegations,
plaintiffs assert statutory claims including violation of the New Mexico Unfair
Practices Act, and common law claims for breach of the implied covenant of good
faith and fair dealing, breach of fiduciary duty, unjust enrichment and
fraudulent concealment. The complaint seeks injunctive relief, compensatory and
punitive damages, both in unspecified amounts, restitution, treble damages,
pre-judgment interest, costs and attorneys' fees. We filed an answer denying the
claims. Thereafter, both we and the plaintiffs filed separate motions for
summary judgment. On March 9, 2001, the court entered an order granting summary
judgment to plaintiffs as to liability, permitting us to appeal the order and
staying the case pending completion of the appeal proceeding. The appeals court
has agreed to hear the appeal and the briefing has been completed.
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2. CONTINGENCIES AND LITIGATION (continued)
The balance of the Company's litigation is subject to many uncertainties, and
given the complexity and scope, the outcomes cannot be predicted. It is possible
that the results of operations or the cash flow of the Company in a particular
quarterly or annual period could be materially affected by an ultimate
unfavorable resolution of pending litigation and regulatory matters. Management
believes, however, that the ultimate outcome of all pending litigation and
regulatory matters should not have a material adverse effect on the Company's
financial position.
3. RELATED PARTY TRANSACTIONS
The Company has extensive transactions and relationships with Prudential and
other affiliates. It is possible that the terms of these transactions are not
the same as those that would result from transactions among wholly unrelated
parties.
Expense Charges and Allocations
All of the Company's expenses are allocations or charges from Prudential or
other affiliates. These expenses can be grouped into the following categories:
general and administrative expenses, retail distribution expenses and asset
management fees.
The Company's general and administrative expenses are charged to the Company
using allocation methodologies based on business processes. Management believes
that the methodology is reasonable and reflects costs incurred by Prudential to
process transactions on behalf of the Company. Prudential and the Company
operate under service and lease agreements whereby services of officers and
employees, supplies, use of equipment and office space are provided by
Prudential.
The Company is allocated estimated distribution expenses from Prudential's
retail agency network for both its domestic life and annuity products. The
Company has capitalized the majority of these distribution expenses as deferred
policy acquisition costs. Beginning April 1, 2000, Prudential and the Company
agreed to revise the estimate of allocated distribution expenses to reflect a
market based pricing arrangement.
In accordance with a profit sharing agreement with Prudential that was in effect
through December 31, 2000, the Company received fee income from policyholder
account balances invested in the Prudential Series Funds ("PSF"). These revenues
were recorded as "Asset management fees" in the Statements of Operations and
Comprehensive Income. The Company was charged an asset management fee by
Prudential Global Asset Management ("PGAM") and Jennison Associates LLC
("Jennison") for managing the PSF portfolio. These expenses are a component of
general, administrative and other expenses.
On September 29, 2000, the Board of Directors for the Prudential Series Fund,
Inc. ("PSFI") adopted resolutions to terminate the existing management agreement
between PSFI and Prudential, and has appointed another subsidiary of Prudential
as the fund manager for PSF. The change was approved by the shareholders of the
PSFI during early 2001 and effective January 1, 2001, the Company will no longer
receives fees associated with the PSF. In addition, the Company will no longer
incur the asset management expense from PGAM and Jennison associated with the
PSF.
Corporate Owned Life Insurance
The Company has sold a Corporate Owned Life Insurance ("COLI") policy to
Prudential. The cash surrender value included in Separate Accounts was $145.7
million and $182.4 million at September 30, 2001 and December 31, 2000,
respectively.
Reinsurance
The Company currently has a reinsurance agreement in place with Prudential ("the
reinsurer"). The reinsurance agreement is a yearly renewable term agreement in
which the Company may offer and the reinsurer may accept reinsurance on any life
in excess of the Company's maximum limit of retention. The Company is not
relieved of its primary obligation to the policyholder as a result of these
reinsurance transactions. These agreements had no material effect on net income
for the periods ended September 30, 2001 and 2000.
Debt Agreements
In July 1998, the Company established a revolving line of credit facility with
Prudential Funding LLC, a wholly-owned subsidiary of Prudential. There is no
outstanding debt relating to this credit facility as of September 30, 2001 or
December 31, 2000.
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Item 2. Management's Discussion and Analysis of Financial Condition and
Results of Operations.
Pruco Life Insurance Company of New Jersey meets the conditions set forth in
General Instruction H(1)(a) and (b) on Form 10-Q and is filing this form with
reduced disclosure.
1. Analysis of Financial Condition
Total assets of the Company decreased $249 million during the first nine months
of 2001, the majority of which relates to a $300 million decrease in Separate
Accounts primarily from stock market declines. Fixed maturities increased by $50
million primarily from fixed maturity appreciation resulting from declining
interest rates and from positive cash inflows. The Company reclassified
held-to-maturity fixed maturities, amounting to $7.5 million at January 1, 2001,
to the available-for-sale category.
Total liabilities of the Company decreased $267 million during the first nine
months of 2001 from $2,445 million to $2,178 million. Corresponding with the
asset change, Separate Account liabilities decreased by $300 million due to net
investment losses of $281 million, expense and other disbursements of $37
million, and net contributions (contributions less surrenders and withdrawals)
of $18 million. Net Separate Account contributions in 2000 were $83 million. The
current year decline in net contributions reflects activity related to the
Discovery Select exchange program, which was terminated in May 2000.
Policyholder Account balances increased $12 million mainly from interest
credited as net sales were relatively flat. Future policy benefits increased $7
million as a result of increases to reserves for term and extended term
insurance. Securities lending liabilities increased $5 million. Other
liabilities increased $7 million due to an increase in payables for securities
purchased.
2. Results of Operations
Net Income for the nine months ended September 30, 2001 and September 30, 2000
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Net income
Net income after taxes for the nine months ended September 30, 2001 was $11.0
million, a decrease of $6.1 million from the first nine months of 2000. Income
before taxes declined by $11.0 million mainly as a result of increased other
than temporary impairment writedowns on fixed maturities of $7.0 million. In
addition, net asset management fee income declined $3.5 million ($5.9 million in
revenues less $2.4 million of expenses) as the Company ceased receiving fee
income or paying asset management fee expenses related to the Pru Series Fund
("PSF") as of January 1, 2001, as described in the Notes to Financial
Statements. Tax expense, and the effective tax rate, for the current year are
lower than the prior year due to reduced income from operations before income
taxes and benefits from nontaxable investment income.
Revenues
Revenues decreased by $7 million from the prior year comparable period. Realized
investment losses increased by $6.0 million as increased impairment writedowns
and lower derivative gains were partially offset by higher gains on sales of
fixed maturities. The elimination of PSF asset management fees reduced revenues
by $5.9 million. Policy charges and fee income decreased by $4.3 million
primarily driven by a decrease in mortality and expense charges as a result of
the decline in Separate Account liabilities due to unfavorable market returns.
Premiums increased $6.2 million from higher term insurance and extended term
premiums. Net investment income increased $2.6 million mainly as a result of
increased income from fixed maturities as the portfolio balance increased from
$631 million at September 30, 2000 to $670 million at September 30, 2001.
Benefits and Expenses
Total benefits and expenses increased by $3.9 million. Policyholder benefits
increased $1.7 million due to increased reserve provisions for term and extended
term premiums and higher surrender benefits for reduced paid up insurance
policies. Interest credited increased by $1.5 million due to higher general
account liabilities. General, administrative and other expenses increased by $.7
million from the prior year. DAC amortization increased by $5.1 million driven
by lower projected future gross profits from continued market declines.
Commission and distribution expenses, net of capitalization, decreased $1.6
million as a result of a change to market based pricing as of April 1, 2000. In
addition, the elimination of asset management expenses resulted in a decrease of
$2.4 million.
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Net Income for the three months ended September 30, 2001 and September 30, 2000
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Net income
Net income declined $5.6 million from the prior year comparable quarter. The
majority of this decrease is the result of increased realized investment losses
of $7.7 million from writedowns for impairments of fixed maturities and losses
on derivative instruments. An increase in profits from term insurance products
launched in late 2000 partially offset the decline. Tax expense, and the
effective tax rate, for the current year are lower than the prior year due to
reduced income from operations before income taxes and benefits from nontaxable
investment income.
Revenues
Revenues are lower than the prior year quarter by $6.8 million. The largest
factor was increased realized investment losses of $7.7 million from writedowns
for permanent impairments of fixed maturities of $4.8 million and higher losses
on derivative instruments of $2.9 million. The elimination of PSF asset
management fees decreased revenue by $2.1 million when compared to the prior
year. Policy charges and fee income decreased by $1.2 million as mortality and
expense charges were lower as a result of the decline in Separate Account
liabilities due to unfavorable market returns. Partially offsetting these
declines was an increase in premiums of $2.1 million primarily from sales of
term insurance. Net investment income grew by $1.7 million primarily from a rise
in interest income on fixed maturities.
Benefits and Expenses
Policyholder benefits are lower by $1.0 million as reserves decreases due to
surrenders of paid up policies more than offset increases for term insurance
products. Interest credited is higher by $.7 million due to higher general
account policyholder balances. General, administrative, and other expenses
increased $2.7 million resulting from higher DAC amortization of $4.6 million
driven by lower projected future gross profits from continued market declines.
The elimination of the asset management decreased expenses by $1.0 million.
Commissions and distribution expenses are lower than the prior year as a result
of higher capitalization based on new sales.
3. Liquidity and Capital Resources
Principal cash flow sources are investment and fee income, investment maturities
and sales, and premiums and fund deposits. These cash inflows may be
complemented by financing activities through other Prudential affiliates.
Cash outflows consist principally of benefits, claims and amounts paid to
policyholders in connection with policy surrenders, withdrawals and net policy
loan activity. Uses of cash also include commissions, general and administrative
expenses, and purchases of investments. Liquidity requirements associated with
policyholder obligations are monitored regularly so that the Company can manage
cash inflows to match anticipated cash outflow requirements.
The Company believes that cash flow from operations together with proceeds from
scheduled maturities and sales of fixed maturity investments, are adequate to
satisfy liquidity requirements based on the Company's current liability
structure.
The Company had $2.6 billion of assets at September 30, 2001 compared to $2.8
billion at December 31, 2000, of which $1.5 billion and $1.8 billion were held
in Separate Accounts at September 30, 2001 and December 31, 2000, respectively,
under variable life insurance policies and variable annuity contracts. The
remaining assets consisted primarily of investments and deferred policy
acquisition costs.
4. Information Concerning Forward-Looking Statements
Some of the statements contained in Management's Discussion and Analysis,
including those words such as "believes", "expects", "intends", "estimates",
"assumes", "anticipates" and "seeks", are forward-looking statements. These
forward-looking statements involve risk and uncertainties. Actual results may
differ materially from those suggested by the forward-looking statements for
various reasons. In particular, statements contained in Management's Discussion
and Analysis regarding the Company's business strategies involve risks and
uncertainties, and we can provide no assurance that we will be able to execute
our strategies effectively or achieve our financial and other objectives.
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PART II
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Item 6. Exhibits and Reports on Form 8-K
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(a) Exhibits
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3(i)(a) The Articles of Incorporation (as amended through March 11,
1983) of Pruco Life Insurance Company of New Jersey are
incorporated by reference to Post-effective Amendment No. 26
to the Registration Statement on Form S-6 of Pruco Life of New
Jersey Variable Appreciable Account as filed April 28, 1997,
Registration No. 2-89780.
3(i)(b) Amendment to the Articles of Incorporation dated February 12,
1998 is incorporated by reference to Post-Effective Amendment
No. 12 to the Registration Statement on Form S-1, of Pruco
Life of New Jersey Variable Contract Real Property Account as
filed on April 16, 1999, Registration No. 33-20018.
3(ii) By-Laws of Pruco Life Insurance Company of New Jersey (as
amended through May 5, 1997) are incorporated by reference to
Form 10-Q as filed by the Company on August 15, 1997.
4 Market-Value Adjustment Annuity Contract is incorporated by
reference to the Company's registration statement on Form S-1,
Registration No. 333-18053, as filed November 17, 1995.
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SIGNATURES
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Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf of the
undersigned, thereunto duly authorized.
PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY
(Registrant)
Signature Title Date
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Executive Vice President November 14, 2001
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Andrew J. Mako
Principal Financial Officer November 14, 2001
- ----------------------- and Chief Accounting Officer
William J. Eckert, IV
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