NYL INVESTORS LLC

HTTP://WWW.NEWYORKLIFE.COM/NYLINVESTORS NEW YORK, NY Investment Advisor How do I update this listing?

NYL Investors is based out of New York. NYL Investors is a large advisory firm with 32 clients and discretionary assets under management (AUM) of $242,142,598,625 (Form ADV from 2019-05-06). Their last reported 13F filing for Q3 2019 included $231,596,000 in managed 13F securities and a top 10 holdings concentration of 81.81%. NYL Investors's largest holding is Shares Long-Term Corporate Bond ETF with shares held of 625,029. Whalewisdom has at least 7 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $231.596 Million
  • Prior Market Value $188.214 Million
  • New Purchases2 stocks
  • Additional Purchases15 stocks
  • Sold out of2 stocks
  • Reduced holdings in1 stock
  • Top 10 Holdings % 81.81 %
  • Turnover % [1]:15.38%
  • Turnover Alt % [2]: 21.36 %
  • Time Held Top20:3.75 quarters
  • Time Held Top10:4.50 quarters
  • Time Held All:3.69 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 1.9%
Performance Last 4 Quarters: 3.52%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
IndexIQ Advisors LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC

View Last Form Adv Compilation Report on Record

NYL INVESTORS LLC
Classified as Hedge Fund
51 MADISON AVENUE
NEW YORK NY    10010
Country: United States

Business Phone: 212-576-7000
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 300
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees,ORIGINATION FEES OF REAL ESTATE LOANS/ PRIVATE PLACEMENT DEALS
Amount of client funds and securities:
Total Number of Clients: 32
Amount of client funds and securities by related persons: 1,059,690,000
Total Number of clients from related persons: 1
Disclosures: 11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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NYL INVESTORS LLC

ownership team - last updated 2019-05-06
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INSURANCE COMPANY SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31
MALLOY, ANTHONY, RAMSEY CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGER, AND CHAIRMAN OF COMPENSATION COMMITTEE 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MCDERMOTT, GAIL, ANNE MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
TALGO, MARK, WILLIAM MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NAIR, DINESH CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P. COMPTROLLER (FUNCTIONS AS CFO) direct 2004-07-01
NYL INVESTORS LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-07-01
SETER, ARTHUR, HARUTYUN MANAGER AND MEMBER OF COMPENSATION COMMITTEE 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-01-01
GOLDPOINT PARTNERS LLC MANAGER direct 2011-06-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2011-06-01
NYL INVESTORS LLC ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
NYL INVESTORS LLC MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER direct 2015-01-01
RATHOD, ALPESH CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANC OF AMERICA INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
U.S. TRUST HEDGE FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-07-01
BANK OF AMERICA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BACAP ADVISORY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
NYL INVESTORS LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
SMITH, ALLEN, THOMAS MANAGING DIRECTOR/GENERAL COUNSEL 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAN KAMPEN MANAGEMENT INC. DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR, MANAGING DIRECTOR direct 1999-02-01
INVESTMENT COMPANY CAPITAL CORP. SECRETARY & CHIEF LEGAL OFFICER direct 2004-08-01
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, EXEC. VP, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-02-13
VAN KAMPEN ADVISORS INC DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-04-18
VAN KAMPEN INVESTMENT ADVISORY CORP DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-05-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-09-26
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-12-05
VAN KAMPEN ADVISORS INC DIRECTOR direct 1999-02-01 2001-12-11
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR direct 1999-02-01 2001-12-18
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR direct 1999-02-01 2002-07-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
DB INVESTMENT MANAGERS, INC. CHIEF LEGAL OFFICER direct 2004-09-01 2006-10-12
RZAD, AMAURY, J MANAGER AND SENIOR MANAGING DIRECTOR 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2018-07-01
STEINBERG, JOEL, M MANAGER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INSURANCE CO. SENIOR VICE PRESIDENT AND CHIEF ACTUARY direct 2001-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO II United States 805-3641343815 Other Private Fund OTHER PRIVATE FUND-INSURANCE PRODUCT 381,844,704 100,000
FLATIRON CLO 2015-1 LTD. Cayman Islands 805-1631206485 Securitized Asset Fund 398,637,803 250,000
FLATIRON CLO 2013-1 LTD. Cayman Islands 805-2948397248 Securitized Asset Fund 275,264,767 250,000
TCI-FLATIRON CLO 2017-1 LTD. Cayman Islands 805-6264892687 Securitized Asset Fund 499,482,621 250,000
FLATIRON CLO 17 LTD Cayman Islands 805-4695549517 Securitized Asset Fund 399,665,303 250,000
NYLIAC PPVUL SEPARATE ACCOUNT IX United States 805-3774798362 Other Private Fund INSURANCE PRODUCT 27,211,072 250,000
NYLIAC PPVUL SEPARATE ACCOUNT XIX United States 805-2943142224 Other Private Fund INSURANCE PRODUCT 30,092,402 250,000
FLATIRON CLO 18 LTD Cayman Islands 805-3068226219 Securitized Asset Fund 499,959,275 250,000
TCI-FLATIRON CLO 2016-1 LTD. Cayman Islands 805-1260708383 Securitized Asset Fund 399,744,877 250,000
NYLIAC SEPERATE ACCOUNT 15 United States 805-4877852280 Other Private Fund INSURANCE PRODUCT 87,716,255 250,000
NYLIM STRATFORD CDO 2001-1 LTD. Cayman Islands 805-3269438707 Securitized Asset Fund 13,976,664 100,000
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO I United States 805-3358470443 Other Private Fund PRIVATE FUND-INSURANCE PRODUCT 446,360,158 100,000

NYL INVESTORS LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INSURANCE COMPANY SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31
MALLOY, ANTHONY, RAMSEY CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
SETER, ARTHUR, HARUTYUN ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-01-01
GOLDPOINT PARTNERS LLC MANAGER direct 2011-06-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2011-06-01
NYL INVESTORS LLC ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
NYL INVESTORS LLC MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER direct 2015-01-01
MCDERMOTT, GAIL, ANNE ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
TALGO, MARK, WILLIAM ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NAIR, DINESH CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P. COMPTROLLER (FUNCTIONS AS CFO) direct 2004-07-01
NYL INVESTORS LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-07-01
FLEURANT, JOHN, THOMAS ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL INVESTMENTS LLC EXEC. VP, CFO AND TREASURER direct 2004-03-01
PRUDENTIAL INVESTMENT MANAGEMENT, INC. VP, FINANCE direct 2004-03-01
GLOBAL PORTFOLIO STRATEGIES, INC. DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2004-12-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2013-01-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2013-01-01
AMERICAN SKANDIA INVESTMENT SERVICES, INC. DIRECTOR, EXEC. VP, CFO direct 2004-03-01
AST INVESTMENT SERVICES, INC. CONTROLLER direct 2010-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
NYLCAP MANAGER LLC MANAGER AND CHAIRMAN OF THE AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2013-01-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR AND MEMBER OF THE AUDIT AND COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. DIRECTOR direct 2014-02-01
RATHOD, ALPESH CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANC OF AMERICA INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
U.S. TRUST HEDGE FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-07-01
BANK OF AMERICA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BACAP ADVISORY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
NYL INVESTORS LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
SMITH, ALLEN, THOMAS MANAGING DIRECTOR/GENERAL COUNSEL 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAN KAMPEN MANAGEMENT INC. DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR, MANAGING DIRECTOR direct 1999-02-01
INVESTMENT COMPANY CAPITAL CORP. SECRETARY & CHIEF LEGAL OFFICER direct 2004-08-01
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, EXEC. VP, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-02-13
VAN KAMPEN ADVISORS INC DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-04-18
VAN KAMPEN INVESTMENT ADVISORY CORP DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-05-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-09-26
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-12-05
VAN KAMPEN ADVISORS INC DIRECTOR direct 1999-02-01 2001-12-11
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR direct 1999-02-01 2001-12-18
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR direct 1999-02-01 2002-07-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
DB INVESTMENT MANAGERS, INC. CHIEF LEGAL OFFICER direct 2004-09-01 2006-10-12
RZAD, AMAURY, J ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2018-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCI-FLATIRON CLO 2016-1 LTD. Cayman Islands 805-1260708383 Securitized Asset Fund 399,744,877 250,000
NYLIAC SEPERATE ACCOUNT 15 United States 805-4877852280 Other Private Fund INSURANCE PRODUCT 87,716,255 250,000
NYLIM STRATFORD CDO 2001-1 LTD. Cayman Islands 805-3269438707 Securitized Asset Fund 13,976,664 100,000
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO I United States 805-3358470443 Other Private Fund PRIVATE FUND-INSURANCE PRODUCT 446,360,158 100,000
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO II United States 805-3641343815 Other Private Fund OTHER PRIVATE FUND-INSURANCE PRODUCT 381,844,704 100,000
FLATIRON CLO 2015-1 LTD. Cayman Islands 805-1631206485 Securitized Asset Fund 398,637,803 250,000
FLATIRON CLO 2013-1 LTD. Cayman Islands 805-2948397248 Securitized Asset Fund 275,264,767 250,000
TCI-FLATIRON CLO 2017-1 LTD. Cayman Islands 805-6264892687 Securitized Asset Fund 499,482,621 250,000
FLATIRON CLO 17 LTD Cayman Islands 805-4695549517 Securitized Asset Fund 399,665,303 250,000
NYLIAC PPVUL SEPARATE ACCOUNT IX United States 805-3774798362 Other Private Fund INSURANCE PRODUCT 27,211,072 250,000
NYLIAC PPVUL SEPARATE ACCOUNT XIX United States 805-2943142224 Other Private Fund INSURANCE PRODUCT 30,092,402 250,000
FLATIRON CLO 18 LTD Cayman Islands 805-3068226219 Securitized Asset Fund 499,959,275 250,000

NYL INVESTORS LLC

ownership team - last updated 2018-05-18
Name Title Start Date Direct/Indirect % Ownership
MALLOY, ANTHONY, RAMSEY CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
NEW YORK LIFE INSURANCE COMPANY SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31
GIRARD, THOMAS, JOHN ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
MCDERMOTT, GAIL, ANNE ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
TALGO, MARK, WILLIAM ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2014-01-01
NAIR, DINESH CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P. COMPTROLLER (FUNCTIONS AS CFO) direct 2004-07-01
NYL INVESTORS LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-07-01
SETER, ARTHUR, HARUTYUN ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-01-01
GOLDPOINT PARTNERS LLC MANAGER direct 2011-06-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2011-06-01
NYL INVESTORS LLC ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
NYL INVESTORS LLC MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER direct 2015-01-01
FLEURANT, JOHN, THOMAS ELECTED MANAGER AND SENIOR MANAGING DIRECTOR 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL INVESTMENTS LLC EXEC. VP, CFO AND TREASURER direct 2004-03-01
PRUDENTIAL INVESTMENT MANAGEMENT, INC. VP, FINANCE direct 2004-03-01
GLOBAL PORTFOLIO STRATEGIES, INC. DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2004-12-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2013-01-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2013-01-01
AMERICAN SKANDIA INVESTMENT SERVICES, INC. DIRECTOR, EXEC. VP, CFO direct 2004-03-01
AST INVESTMENT SERVICES, INC. CONTROLLER direct 2010-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
NYLCAP MANAGER LLC MANAGER AND CHAIRMAN OF THE AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2013-01-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR AND MEMBER OF THE AUDIT AND COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. DIRECTOR direct 2014-02-01
RATHOD, ALPESH CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANC OF AMERICA INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
U.S. TRUST HEDGE FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-07-01
BANK OF AMERICA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BACAP ADVISORY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
NYL INVESTORS LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
SMITH, ALLEN, THOMAS MANAGING DIRECTOR/GENERAL COUNSEL 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAN KAMPEN MANAGEMENT INC. DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR, MANAGING DIRECTOR direct 1999-02-01
INVESTMENT COMPANY CAPITAL CORP. SECRETARY & CHIEF LEGAL OFFICER direct 2004-08-01
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, EXEC. VP, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-02-13
VAN KAMPEN ADVISORS INC DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-04-18
VAN KAMPEN INVESTMENT ADVISORY CORP DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-05-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-09-26
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-12-05
VAN KAMPEN ADVISORS INC DIRECTOR direct 1999-02-01 2001-12-11
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR direct 1999-02-01 2001-12-18
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR direct 1999-02-01 2002-07-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
DB INVESTMENT MANAGERS, INC. CHIEF LEGAL OFFICER direct 2004-09-01 2006-10-12

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCI-FLATIRON CLO 2016-1 LTD. Cayman Islands 805-1260708383 Securitized Asset Fund 400,499,026 250,000
NYLIAC SEPERATE ACCOUNT 15 United States 805-4877852280 Other Private Fund INSURANCE PRODUCT 127,593,397 250,000
NYLIM STRATFORD CDO 2001-1 LTD. Cayman Islands 805-3269438707 Securitized Asset Fund 22,592,784 100,000
NYL FLATIRON CLO 2014-1 LTD Cayman Islands 805-9495649679 Securitized Asset Fund 392,439,044 250,000
FLATIRON CLO 2007-1 LTD. Cayman Islands 805-4128223113 Securitized Asset Fund 44,275,212 100,000
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO I United States 805-3358470443 Other Private Fund PRIVATE FUND-INSURANCE PRODUCT 445,205,284 100,000
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO II United States 805-3641343815 Other Private Fund OTHER PRIVATE FUND-INSURANCE PRODUCT 382,974,630 100,000
FLATIRON CLO 2015-1 LTD. Cayman Islands 805-1631206485 Securitized Asset Fund 399,786,439 250,000
FLATIRON CLO 2013-1 LTD. Cayman Islands 805-2948397248 Securitized Asset Fund 395,719,322 250,000
TCI-FLATIRON CLO 2017-1 LTD. Cayman Islands 805-6264892687 Securitized Asset Fund 500,000,000 250,000
FLATIRON CLO 17 LTD Cayman Islands 805-4695549517 Securitized Asset Fund 400,503,297 250,000
NYLIFE OFFICE HOLDINGS LLC United States 805-1178579386 Real Estate Fund 668,800,000 0
NYLIC HKP VENTURE LLC United States 805-7321625260 Real Estate Fund 60,000,000 150,000,000

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