Form D Raw Data - Electronic Filing Depository

EFDID: 10747EFD: Raw Data

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

Accession: 0000907593-10-000002 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 11, 2010
EFD Posted: Aug. 7, 2014

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< 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 >

< zipCode > 10010 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 212-576-70000 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

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

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

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< overFiveYears > true </ overFiveYears >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Robert </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< firstName > John </ firstName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Catherine </ firstName >

< middleName > A. </ middleName >

< lastName > Marrion </ 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 > Barbara </ firstName >

< middleName > J. </ middleName >

< lastName > McInerney </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< firstName > Angelo </ firstName >

< middleName > J. </ middleName >

< lastName > Scialabba </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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< firstName > Eileen </ firstName >

< middleName > T. </ middleName >

< lastName > Slevin </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Gary </ firstName >

< middleName > E. </ middleName >

< lastName > Wendlandt </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

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< firstName > Richard </ firstName >

< middleName > J. </ middleName >

< lastName > Witterschein </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< firstName > Craig </ firstName >

< middleName > L. </ middleName >

< lastName > DeSanto </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Teresa </ firstName >

< middleName > A. </ middleName >

< lastName > Turner </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

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- < 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 > 0000907593-09-000004 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2002-04-17 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Variable Interests in Private Placement Variable Universal Life Policies </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 250000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Walnut Street Securities, Inc. </ recipientName >

< recipientCRDNumber > 15840 </ recipientCRDNumber >

< associatedBDName > Walnut Street Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 15840 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13045 Tesson Ferry Road </ street1 >

< street2 > 131-50 </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< zipCode > 63128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > VALMARK Securities, Inc. </ recipientName >

< recipientCRDNumber > 31243 </ recipientCRDNumber >

< associatedBDName > VALMARK Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1390 Springside Drive </ street1 >

< street2 > Suite 300 </ street2 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< zipCode > 43333 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Investors Capital Corporation </ recipientName >

< recipientCRDNumber > 30613 </ recipientCRDNumber >

< associatedBDName > Investors Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 230 Broadway East </ street1 >

< city > Lynnfield </ city >

< stateOrCountry > MA </ stateOrCountry >

< zipCode > 01940 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 2881 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 611 East Wisconsin Avenue </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > NYLIFE Securities, LLC </ recipientName >

< recipientCRDNumber > 5167 </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > Royal alliance Associates </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One World Financial Center </ street1 >

< street2 > 15th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10281 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > American Portfolios Financial Services </ recipientName >

< recipientCRDNumber > 18487 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Services </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 Veterans Memorial Highway </ street1 >

< street2 > 4th Floor East </ street2 >

< city > Holbrook </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 11741 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > New Investors World, Inc. </ recipientName >

< recipientCRDNumber > 109356 </ recipientCRDNumber >

< associatedBDName > New Investors World, Inc. </ associatedBDName >

< associatedBDCRDNumber > 109356 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6210 Campbell Road </ street1 >

< street2 > Suite 128 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 75248 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > MI </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > NFP Securities, Inc. </ recipientName >

< recipientCRDNumber > 42046 </ recipientCRDNumber >

< associatedBDName > NFP Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1250 Capital of Texas Hwy </ street1 >

< street2 > S#2-125 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Stern Capital LLC </ recipientName >

< recipientCRDNumber > 131226 </ recipientCRDNumber >

< associatedBDName > Stern Capital LLC </ associatedBDName >

< associatedBDCRDNumber > 131226 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 708 Third Avenue </ street1 >

< street2 > Suite 1610 </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > CA </ state >

< state > CT </ state >

< state > DE </ state >

< state > FL </ state >

< state > IL </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > NJ </ state >

< state > NY </ state >

< state > PA </ state >

< state > RI </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > First Montauk Securities Corp. </ recipientName >

< recipientCRDNumber > 13755 </ recipientCRDNumber >

< associatedBDName > First Montauk Securities Corp. </ associatedBDName >

< associatedBDCRDNumber > 13755 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 328 NewmanSprings Road </ street1 >

< city > Red Bank </ city >

< stateOrCountry > NJ </ stateOrCountry >

< zipCode > 07701 </ zipCode >

</ recipientAddress >

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< state > LA </ state >

< state > NJ </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > MAG Financial Inc. </ recipientName >

< recipientCRDNumber > 36327 </ recipientCRDNumber >

< associatedBDName > MAG Financial Inc. </ associatedBDName >

< associatedBDCRDNumber > 36327 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2005 Market Street </ street1 >

< street2 > 7th Floor </ street2 >

< city > Philadelphia </ city >

< stateOrCountry > PA </ stateOrCountry >

< zipCode > 19103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > CA </ state >

< state > CO </ state >

< state > DC </ state >

< state > FL </ state >

< state > LA </ state >

< state > MD </ state >

< state > NJ </ state >

< state > PA </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Manor House Capital, LLC </ recipientName >

< recipientCRDNumber > 140863 </ recipientCRDNumber >

< associatedBDName > Manor House Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 140863 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2005 Market Street </ street1 >

< street2 > 7th Floor </ street2 >

< city > Philadelphia </ city >

< stateOrCountry > PA </ stateOrCountry >

< zipCode > 19103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > IL </ state >

< state > NJ </ state >

< state > NY </ state >

< state > PA </ state >

< state > SD </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors Corp. </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Lincoln Financial Advisors Corp. </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 South Clinton Street </ street1 >

< street2 > Suite 150 </ street2 >

< city > Fort Wayne </ city >

< stateOrCountry > IN </ stateOrCountry >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > MML Investors Services, Inc. </ recipientName >

< recipientCRDNumber > 10409 </ recipientCRDNumber >

< associatedBDName > MML Investors Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 10409 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1295 State Street </ street1 >

< city > Springfield </ city >

< stateOrCountry > MA </ stateOrCountry >

< zipCode > 01111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Deutsche Bank Securities Inc. </ recipientName >

< recipientCRDNumber > 2525 </ recipientCRDNumber >

< associatedBDName > Deutsche Bank Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 2525 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 60 Wall Street </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Ross Securities Corporation </ recipientName >

< recipientCRDNumber > 113796 </ recipientCRDNumber >

< associatedBDName > Ross Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 113796 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1270 Avenue of the Americas </ street1 >

< street2 > 20th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10020 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > CT </ state >

< state > NJ </ state >

< state > NY </ state >

< state > PA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Park Avenue Securities LLC </ recipientName >

< recipientCRDNumber > 46173 </ recipientCRDNumber >

< associatedBDName > Park Avenue Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 46173 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7 Hanover Square </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ 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 >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 324297898 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 119 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 4932076 </ 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/ Robert J. Hebron </ signatureName >

< nameOfSigner > Robert J. Hebron </ nameOfSigner >

< signatureTitle > Senior Vice President </ signatureTitle >

< signatureDate > 2010-03-11 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >