Form D Raw Data - Electronic Filing Depository

EFDID: 10754EFD: Raw Data

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

Accession: 0000907593-10-000003 () (EDGAR Files) (Form D)

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

- < edgarSubmission >

< schemaVersion > X0603 </ 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 >

< 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 >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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< firstName > Scott </ firstName >

< middleName > L. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Christopher </ firstName >

< middleName > O. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Frank </ firstName >

< middleName > M. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Solomon </ firstName >

< lastName > Goldfinger </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Steven </ firstName >

< middleName > D. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > John </ firstName >

< middleName > R. </ middleName >

< lastName > Meyer </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Mark </ firstName >

< middleName > W. </ middleName >

< lastName > Pfaff </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Arthur </ firstName >

< middleName > H. </ middleName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Michael </ firstName >

< middleName > E. </ middleName >

< lastName > Sproule </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Joel </ firstName >

< middleName > M. </ middleName >

< lastName > Steinberg </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > Michael </ firstName >

< lastName > Whitton </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< firstName > John </ firstName >

< middleName > A. </ middleName >

< lastName > Cullen </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< 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 >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > J. </ middleName >

< lastName > Hebron </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< 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 >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

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- < relatedPersonName >

< firstName > Catherine </ firstName >

< middleName > A. </ middleName >

< lastName > Marrion </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< 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 >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

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</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Angelo </ firstName >

< middleName > J. </ middleName >

< lastName > Scialabba </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Eileen </ firstName >

< middleName > T. </ middleName >

< lastName > Slevin </ lastName >

</ relatedPersonName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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- < relatedPersonName >

< firstName > Gary </ firstName >

< middleName > E. </ middleName >

< lastName > Wendlandt </ lastName >

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< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Richard </ firstName >

< middleName > J. </ middleName >

< lastName > Witterschein </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< 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 Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10010 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

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< 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 >

< 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 > 0000727136-09-000011 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2006-01-15 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

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

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 250000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < 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 >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Clark Securities Inc. </ recipientName >

< recipientCRDNumber > 43803 </ 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 >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 2881 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Invesrment Services, LLC </ 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 > TBG Financial & Insurance Services </ recipientName >

< recipientCRDNumber > 26984 </ recipientCRDNumber >

< associatedBDName > TBG Financial & Insurance Services </ associatedBDName >

< associatedBDCRDNumber > 26984 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 North Sepulveda Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > El Segunda </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 90245 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Executive Services Securities </ recipientName >

< recipientCRDNumber > 25299 </ recipientCRDNumber >

< associatedBDName > Executive Services Securities </ associatedBDName >

< associatedBDCRDNumber > 25299 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3445 Peachtree Road N.E. </ street1 >

< street2 > Suite 200 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30326 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ 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 > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ 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 > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 839423211 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 23 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 26594278 </ 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 >