Form D Raw Data - Electronic Filing Depository

EFDID: 335853EFD: Raw Data

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

Accession: 0000727136-23-000002 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 13, 2023
EFD Posted: Mar. 13, 2023

- < 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 >

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< firstName > Theodore </ firstName >

< middleName > A. </ 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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< street1 > 51 Madison Avenue </ street1 >

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< street1 > 51 Madison Avenue </ street1 >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< firstName > Alexander </ firstName >

< middleName > I. </ middleName >

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< street1 > 51 Madison Ave </ street1 >

< city > New York </ city >

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< firstName > Robert </ firstName >

< middleName > M. </ middleName >

< lastName > Gardner </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Frank </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Thomas </ firstName >

< middleName > A. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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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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< firstName > Amy </ firstName >

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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 > 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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< 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 >

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< firstName > Michael </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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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 >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< 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 >

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< firstName > Janis </ firstName >

< middleName > C. </ middleName >

< lastName > Rubin </ 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 > Craig </ firstName >

< middleName > L. </ middleName >

< lastName > DeSanto </ 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 >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > A. </ middleName >

< lastName > Gamble </ 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 >

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< relationship > Executive Officer </ relationship >

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</ 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 > Director </ relationship >

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< relationshipClarification />

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- < 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 > 0000727136-21-000003 </ 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 >

- < recipient >

< recipientName > VALMARK SECURITIES, INC. </ recipientName >

< recipientCRDNumber > 31243 </ recipientCRDNumber >

< associatedBDName > VALMARK SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 SPRINGSIDE DRIVE </ street1 >

< street2 > Suite 300 </ street2 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44333 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CARRIE HALL </ recipientName >

< recipientCRDNumber > 1405784 </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6710 North Scottsdale Road </ street1 >

< street2 > Suite 160 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85253 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Triad Insurance, Inc. </ recipientName >

< recipientCRDNumber > 25803 </ recipientCRDNumber >

< associatedBDName > Triad Advisors LLC. </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5155 Peachtree Parkway </ street1 >

< street2 > Suite 3230 </ street2 >

< city > Peachtree Corners </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30092 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 1049647424 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 27 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 15536919 </ 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/ Janis Rubin </ signatureName >

< nameOfSigner > Janis Rubin </ nameOfSigner >

< signatureTitle > Vice President </ signatureTitle >

< signatureDate > 2023-03-13 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >