Form D Raw Data - Electronic Filing Depository

EFDID: 335853EFD: Raw Data

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

Accession: 0000727136-21-000003 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 15, 2021
EFD Posted: Mar. 15, 2021

- < edgarSubmission >

< schemaVersion > X0708 </ 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 >

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< firstName > Theodore </ firstName >

< middleName > A. </ middleName >

< lastName > Mathas </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< firstName > Christopher </ firstName >

< middleName > T. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< zipCode > 10010 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Elizabeth </ firstName >

< middleName > K. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< zipCode > 10010 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Alexander </ firstName >

< middleName > I. </ middleName >

< lastName > Cook </ lastName >

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< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

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< zipCode > 10010 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Robert </ firstName >

< middleName > M. </ middleName >

< lastName > Gardner </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< zipCode > 10010 </ zipCode >

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< firstName > Frank </ firstName >

< middleName > J. </ middleName >

< lastName > Harte </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< relationship > Director </ relationship >

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< firstName > Thomas </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< zipCode > 10010 </ zipCode >

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< firstName > Mark </ firstName >

< middleName > J. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< firstName > Amy </ firstName >

< lastName > Miller </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Matthew </ firstName >

< middleName > D. </ middleName >

< lastName > Wion </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Sara </ firstName >

< middleName > L. </ middleName >

< lastName > Badler </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Thomas </ firstName >

< middleName > F. </ middleName >

< lastName > English </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Eric </ firstName >

< lastName > Feldstein </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Colleen </ firstName >

< middleName > A. </ middleName >

< lastName > Meade </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

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</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Janis </ firstName >

< middleName > C. </ middleName >

< lastName > Rubin </ 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 />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Craig </ firstName >

< middleName > L. </ middleName >

< lastName > DeSanto </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dawn </ firstName >

< lastName > Behrens </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Ave </ 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 > Anthony </ firstName >

< middleName > R. </ middleName >

< lastName > Malloy </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Insurance </ industryGroupType >

</ industryGroup >

- < issuerSize >

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

</ issuerSize >

- < federalExemptionsExclusions >

< item > 3C </ item >

< item > 3C.1 </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000727136-20-000005 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2020-02-07 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Variable Interests in CorpExec Private Placement Variable Universal Life IV Policies (CEPPVUL IV) </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 1000000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Newport Group Securities Inc. </ recipientName >

< recipientCRDNumber > 29722 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities,Inc. </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primavera Boulevard </ street1 >

< street2 > Suite 200 </ street2 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > M Holdings Securities, Inc </ recipientName >

< recipientCRDNumber > 43285 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 N.W. Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kestra Investment Services LLC. </ recipientName >

< recipientCRDNumber > 42046 </ recipientCRDNumber >

< associatedBDName > Kestra Investment Services LLC </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5707 SOUTHWEST PARKWAY </ street1 >

< street2 > BUILDING 2, SUITE 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78735 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Northwestern Mutual Investment Services LLC </ recipientName >

< recipientCRDNumber > 2881 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 EAST WISCONSIN AVENUE </ street1 >

< city > MILWAUKEE </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Morgan Stanley Insurance Services, Inc. </ recipientName >

< recipientCRDNumber > 149777 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley Insurance Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Harborside Plaza II </ street1 >

< street2 > 7th floor </ street2 >

< city > Jersey City </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07311 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 70411497 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 11 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1910382 </ 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 > Dawn Behrens </ signatureName >

< nameOfSigner > Dawn Behrens </ nameOfSigner >

< signatureTitle > Vice President </ signatureTitle >

< signatureDate > 2021-03-15 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >