Form D Raw Data - Electronic Filing Depository

EFDID: 10756EFD: Raw Data

Issuer: NEW YORK LIFE INSURANCE & ANNUITY CORP (0000727136) - D/A

Accession: 0000727136-13-000003 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 13, 2013
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0706 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0000727136 </ cik >

< entityName > NEW YORK LIFE INSURANCE & ANNUITY CORP </ entityName >

- < issuerAddress >

< street1 > 51 MADISON AVENUE </ street1 >

< street2 > C/O NEW YORK LIFE INSURANCE COMPANY </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 212.576.7000 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > NEW YORK LIFE INSURANCE AND ANNUITY CORP </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

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- < relatedPersonName >

< firstName > Theodore </ firstName >

< middleName > A. </ middleName >

< lastName > Mathas </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Christopher </ firstName >

< middleName > O. </ middleName >

< lastName > Blunt </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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< firstName > Frank </ firstName >

< middleName > M. </ middleName >

< lastName > Boccio </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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< firstName > Steven </ firstName >

< middleName > D. </ middleName >

< lastName > Lash </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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< firstName > Arthur </ firstName >

< middleName > H. </ middleName >

< lastName > Seter </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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< firstName > Michael </ firstName >

< middleName > E. </ middleName >

< lastName > Sproule </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Joel </ firstName >

< middleName > M. </ middleName >

< lastName > Steinberg </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Thomas </ firstName >

< middleName > F. </ middleName >

< lastName > English </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > J. </ middleName >

< lastName > Hebron </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< middleName > Y. </ middleName >

< lastName > Kim </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Barbara </ firstName >

< middleName > J. </ middleName >

< lastName > McInerney </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

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- < relatedPersonName >

< firstName > Angelo </ firstName >

< middleName > J. </ middleName >

< lastName > Scialabba </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Teresa </ firstName >

< middleName > A. </ middleName >

< lastName > Turner </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< middleName > T. </ middleName >

< lastName > Fleurant </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > M. </ middleName >

< lastName > Gardner </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Susan </ firstName >

< middleName > A. </ middleName >

< lastName > Thrope </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Paul </ firstName >

< middleName > T. </ middleName >

< lastName > Pasteris </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Christopher </ firstName >

< middleName > T. </ middleName >

< lastName > Ashe </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Drew </ firstName >

< lastName > Lawton </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Scott </ firstName >

< lastName > Berlin </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > James </ firstName >

< lastName > Cristallo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Insurance </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Over $100,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

< item > 3C </ item >

< item > 3C.1 </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000907593-12-000002 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 1997-12-16 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Interests in Universal Life Policy </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Kenneth D. Miller </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 N. Greene Street </ street1 >

< city > Greensboro </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Raymond Schoenke </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Schoenke & Associates Securities Corp </ associatedBDName >

< associatedBDCRDNumber > 31245 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20250 Century Blvd. </ street1 >

< city > Germantown </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20874 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Clark Consulting </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Clark Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Avenue </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 545593981 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 2 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 3000000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > NEW YORK LIFE INSURANCE & ANNUITY CORP </ issuerName >

< signatureName > /s/ James Cristallo </ signatureName >

< nameOfSigner > James Cristallo </ nameOfSigner >

< signatureTitle > Vice President </ signatureTitle >

< signatureDate > 2013-03-13 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >