0001172661-21-001161.txt : 20210514 0001172661-21-001161.hdr.sgml : 20210514 20210514165323 ACCESSION NUMBER: 0001172661-21-001161 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: New York Life Investments Alternatives CENTRAL INDEX KEY: 0001845268 IRS NUMBER: 851664787 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20894 FILM NUMBER: 21925590 BUSINESS ADDRESS: STREET 1: 51 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 8002255695 MAIL ADDRESS: STREET 1: 51 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001845268 XXXXXXXX 03-31-2021 03-31-2021 false New York Life Investments Alternatives

51 Madison Avenue New York NY 10010

13F HOLDINGS REPORT 028-20894 N Kevin Bopp 800-225-5695 /s/ Kevin Bopp New York NY 05-14-2021 5 188 147527 1 0001626220 028-17931 Greenhouse Funds LLLP 2 0001617201 028-18450 Prosight Management, LP 3 0001635663 028-17274 Steamboat Capital Partners, LLC 4 0001607278 028-16139 Whetstone Capital Advisors, LLC 5 0001766226 028-19334 PA Capital LLC INFORMATION TABLE 2 infotable.xml 8X8 INC NEW COM 282914100 415 12778 SH DFND 4 0 0 12778 ACCOLADE INC COM 00437E102 10317 227387 SH DFND 5 0 0 227387 ADMA BIOLOGICS INC COM 000899104 67 38346 SH DFND 2 0 0 38346 ADT INC DEL COM 00090Q103 390 46264 SH DFND 1 0 0 46264 ADVANSIX INC COM 00773T101 1315 49042 SH DFND 0 0 49042 AKUMIN INC COM 01021F109 122 32979 SH DFND 2 0 0 32979 ALBIREO PHARMA INC COM 01345P106 462 13094 SH DFND 2 0 0 13094 ALDEYRA THERAPEUTICS INC COM 01438T106 431 36310 SH DFND 2 0 0 36310 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 513 2263 SH DFND 0 0 2263 ALPHABET INC CAP STK CL A 02079K305 666 323 SH DFND 0 0 323 ALPHABET INC CAP STK CL C 02079K107 1353 654 SH DFND 4 0 0 654 ALPHABET INC CAP STK CL C 02079K107 598 289 SH DFND 3 0 0 289 AMAZON COM INC COM 023135106 535 173 SH DFND 3 0 0 173 AMAZON COM INC COM 023135106 1364 441 SH DFND 4 0 0 441 AMAZON COM INC COM 023135106 251 81 SH DFND 0 0 81 AMERICAN AIRLS GROUP INC COM 02376R102 684 28600 SH Call DFND 1 0 0 28600 AMERICAN OUTDOOR BRANDS INC COM 02875D109 1154 45800 SH DFND 0 0 45800 AON PLC SHS CL A G0403H108 2816 12239 SH DFND 5 0 0 12239 APTOSE BIOSCIENCES INC COM NEW 03835T200 69 11543 SH DFND 2 0 0 11543 ARENA PHARMACEUTICALS INC COM NEW 040047607 563 8116 SH DFND 2 0 0 8116 ARES ACQUISITION CORPORATION UNIT 99/99/9999 G33032114 172 17237 SH DFND 3 0 0 17237 AT HOME GROUP INC COM 04650Y100 4289 149466 SH DFND 5 0 0 149466 AT HOME GROUP INC COM 04650Y100 1464 51000 SH DFND 0 0 51000 AURINIA PHARMACEUTICALS INC COM 05156V102 360 27760 SH DFND 2 0 0 27760 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633D117 116 11525 SH DFND 3 0 0 11525 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633U119 116 11525 SH DFND 3 0 0 11525 B. RILEY FINANCIAL INC COM 05580M108 258 4572 SH DFND 3 0 0 4572 BARCLAYS PLC ADR 06738E204 1300 507258 SH DFND 0 0 507258 BAYCOM CORP COM 07272M107 3084 171160 SH DFND 5 0 0 171160 BETTERWARE DE MXC S A B DE C SHS NEW P1666E105 540 13933 SH DFND 3 0 0 13933 BLACKBAUD INC COM 09227Q100 793 11159 SH DFND 1 0 0 11159 BLACKBAUD INC COM 09227Q100 483 6800 SH Call DFND 1 0 0 6800 BLACKSTONE GROUP INC COM 09260D107 284 3805 SH DFND 3 0 0 3805 BLUE BIRD CORP COM 095306106 200 8000 SH DFND 0 0 8000 BLUELINX HLDGS INC COM NEW 09624H208 1693 43206 SH DFND 5 0 0 43206 BP PLC SPONSORED ADR 055622104 406 100000 SH DFND 0 0 100000 BRIGHTVIEW HLDGS INC COM 10948C107 236 14000 SH DFND 0 0 14000 BRISTOL-MYERS SQUIBB CO COM 110122108 463 7332 SH DFND 2 0 0 7332 BUILDERS FIRSTSOURCE INC COM 12008R107 919 19831 SH DFND 5 0 0 19831 CARRIER GLOBAL CORPORATION COM 14448C104 767 21000 SH DFND 0 0 21000 CASTLIGHT HEALTH INC CL B 14862Q100 427 282592 SH DFND 4 0 0 282592 CELLECTIS S A SPON ADS 15117K103 216 10664 SH DFND 2 0 0 10664 CF INDS HLDGS INC COM 125269100 70 1539 SH DFND 1 0 0 1539 CF INDS HLDGS INC COM 125269100 132 2900 SH Call DFND 1 0 0 2900 CHEFS WHSE INC COM 163086101 1210 39738 SH DFND 1 0 0 39738 CHEGG INC COM 163092109 989 11547 SH DFND 1 0 0 11547 CLARUS CORP NEW COM 18270P109 1472 86328 SH DFND 1 0 0 86328 CLOUDFLARE INC CL A COM 18915M107 1871 26627 SH DFND 4 0 0 26627 COLICITY INC UNIT 02/24/2026 194170205 145 14364 SH DFND 3 0 0 14364 CORNERSTONE ONDEMAND INC COM 21925Y103 1130 25930 SH DFND 1 0 0 25930 CREDIT SUISSE GROUP SPONSORED ADR 225401108 210 20000 SH DFND 0 0 20000 CROWDSTRIKE HLDGS INC CL A 22788C105 458 2511 SH DFND 4 0 0 2511 CUE BIOPHARMA INC COM 22978P106 521 42702 SH DFND 2 0 0 42702 CURO GROUP HOLDINGS CORP COM 23131L107 507 34757 SH DFND 3 0 0 34757 DATADOG INC CL A COM 23804L103 557 6684 SH DFND 4 0 0 6684 DOMO INC COM CL B 257554105 2298 40824 SH DFND 4 0 0 40824 DONALDSON INC COM 257651109 1088 18714 SH DFND 1 0 0 18714 DONNELLEY FINL SOLUTIONS INC COM 25787G100 223 8012 SH DFND 3 0 0 8012 DONNELLEY R R & SONS CO COM 257867200 139 34160 SH DFND 3 0 0 34160 DROPBOX INC CL A 26210C104 461 17300 SH Call DFND 1 0 0 17300 DROPBOX INC CL A 26210C104 1637 61421 SH DFND 1 0 0 61421 E L F BEAUTY INC COM 26856L103 496 18500 SH DFND 0 0 18500 ELASTIC N V ORD SHS N14506104 260 2341 SH DFND 0 0 2341 ENCOMPASS HEALTH CORP COM 29261A100 633 7733 SH DFND 2 0 0 7733 ENDAVA PLC ADS 29260V105 517 6100 SH DFND 0 0 6100 EQUIFAX INC COM 294429105 725 4000 SH Call DFND 1 0 0 4000 EQUITABLE HLDGS INC COM 29452E101 742 22744 SH DFND 3 0 0 22744 EVENTBRITE INC COM CL A 29975E109 416 18756 SH DFND 4 0 0 18756 EVO PMTS INC CL A COM 26927E104 760 27609 SH DFND 1 0 0 27609 EXICURE INC COM 30205M101 46 21235 SH DFND 2 0 0 21235 EZCORP INC CL A NON VTG 302301106 562 113153 SH DFND 5 0 0 113153 FACEBOOK INC CL A 30303M102 873 2963 SH DFND 3 0 0 2963 FACEBOOK INC CL A 30303M102 1486 5047 SH DFND 4 0 0 5047 FERGUSON PLC NEW SHS G3421J106 717 6000 SH DFND 0 0 6000 FIDELITY NATL INFORMATION SV COM 31620M106 506 3600 SH DFND 0 0 3600 FISERV INC COM 337738108 483 4056 SH DFND 3 0 0 4056 FISERV INC COM 337738108 2401 20176 SH DFND 5 0 0 20176 FLAGSTAR BANCORP INC COM PAR .001 337930705 487 10808 SH DFND 3 0 0 10808 FOLEY TRASIMENE ACQUISTN COR COM CL A 34431F104 420 41824 SH DFND 1 0 0 41824 FOX CORP CL A COM 35137L105 1730 47895 SH DFND 5 0 0 47895 GALAPAGOS NV SPON ADR 36315X101 394 5111 SH DFND 2 0 0 5111 GENESIS PK ACQUISITION CORP UNIT 99/99/9999 G38245117 347 30184 SH DFND 5 0 0 30184 GMS INC COM 36251C103 509 12200 SH DFND 0 0 12200 GORES HOLDINGS VII INC UNIT 02/12/2028 38286T200 143 14364 SH DFND 3 0 0 14364 GREAT LAKES DREDGE & DOCK CO COM 390607109 849 58200 SH DFND 0 0 58200 GREEN DOT CORP CL A 39304D102 984 21493 SH DFND 1 0 0 21493 GREEN PLAINS INC COM 393222104 899 33200 SH DFND 0 0 33200 GREENBRIER COS INC COM 393657101 735 15555 SH DFND 0 0 15555 H & E EQUIPMENT SERVICES INC COM 404030108 1352 35586 SH DFND 0 0 35586 HAIN CELESTIAL GROUP INC COM 405217100 1012 23200 SH Call DFND 1 0 0 23200 HEALTHEQUITY INC COM 42226A107 274 4031 SH DFND 1 0 0 4031 HEIDRICK & STRUGGLES INTL IN COM 422819102 621 17385 SH DFND 0 0 17385 HOVNANIAN ENTERPRISES INC CL A NEW 442487401 406 3841 SH DFND 3 0 0 3841 HUDSON EXECUTIVE INVES III UNIT 02/22/2026 44376L206 199 20110 SH DFND 3 0 0 20110 HUDSON EXECUTIVE INVT CORP COM CL A 443761101 228 23000 SH DFND 0 0 23000 ICICI BANK LIMITED ADR 45104G104 646 40300 SH DFND 0 0 40300 INFINERA CORP COM 45667G103 1445 150099 SH DFND 1 0 0 150099 INFINERA CORP COM 45667G103 445 46200 SH Call DFND 1 0 0 46200 INGERSOLL RAND INC COM 45687V106 692 14065 SH DFND 1 0 0 14065 INTERNATIONAL MNY EXPRESS IN COM 46005L101 258 17200 SH DFND 0 0 17200 INTERNATIONAL MNY EXPRESS IN COM 46005L101 1939 129164 SH DFND 3 0 0 129164 JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 186 18289 SH DFND 3 0 0 18289 KBR INC COM 48242W106 1344 35000 SH DFND 0 0 35000 KEZAR LIFE SCIENCES INC COM 49372L100 344 57670 SH DFND 2 0 0 57670 KIRKLAND LAKE GOLD LTD COM 49741E100 468 13834 SH DFND 1 0 0 13834 LAZARD LTD SHS A G54050102 1354 31116 SH DFND 0 0 31116 LEGACY HOUSING CORP COM 52472M101 395 22251 SH DFND 0 0 22251 LESLIES INC COM 527064109 353 14413 SH DFND 1 0 0 14413 LIBERTY BROADBAND CORP COM SER C 530307305 1505 10022 SH DFND 5 0 0 10022 LITHIA MTRS INC CL A 536797103 423 1085 SH DFND 3 0 0 1085 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 1086 1852000 SH DFND 0 0 1852000 LOCKHEED MARTIN CORP COM 539830109 599 1620 SH DFND 0 0 1620 LOWES COS INC COM 548661107 216 1137 SH DFND 3 0 0 1137 LSI INDS INC COM 50216C108 890 104329 SH DFND 0 0 104329 MASTERCARD INCORPORATED CL A 57636Q104 244 686 SH DFND 3 0 0 686 MEIRAGTX HLDGS PLC COM G59665102 324 22422 SH DFND 2 0 0 22422 METACRINE INC COM 59101E103 145 23439 SH DFND 2 0 0 23439 MICROSOFT CORP COM 594918104 551 2337 SH DFND 3 0 0 2337 MICROSOFT CORP COM 594918104 465 1972 SH DFND 0 0 1972 MONGODB INC CL A 60937P106 546 2042 SH DFND 4 0 0 2042 MOODYS CORP COM 615369105 207 693 SH DFND 4 0 0 693 NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 1240 458527 SH DFND 0 0 458527 NEW RELIC INC COM 64829B100 332 5402 SH DFND 4 0 0 5402 NORDSON CORP COM 655663102 856 4310 SH DFND 1 0 0 4310 NORTHWEST PIPE CO COM 667746101 386 11541 SH DFND 0 0 11541 NVENT ELECTRIC PLC SHS G6700G107 338 12100 SH DFND 1 0 0 12100 NVIDIA CORPORATION COM 67066G104 307 575 SH DFND 3 0 0 575 NVR INC COM 62944T105 1036 220 SH DFND 0 0 220 ONESPAN INC COM 68287N100 521 21256 SH DFND 0 0 21256 OSCAR HEALTH INC CL A 687793109 220 8203 SH DFND 2 0 0 8203 PAYPAL HLDGS INC COM 70450Y103 818 3370 SH DFND 3 0 0 3370 PELOTON INTERACTIVE INC CL A COM 70614W100 813 7227 SH DFND 4 0 0 7227 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 804 33500 SH DFND 1 0 0 33500 PINDUODUO INC NOTE 12/0 722304AC6 184 173000 PRN DFND 3 0 0 173000 PINTEREST INC CL A 72352L106 1411 19063 SH DFND 4 0 0 19063 PLANET FITNESS INC CL A 72703H101 312 4036 SH DFND 0 0 4036 POLARIS INC COM 731068102 481 3600 SH DFND 0 0 3600 PPD INC COM 69355F102 522 13800 SH DFND 0 0 13800 PROQR THRAPEUTICS N V SHS EURO N71542109 229 34654 SH DFND 2 0 0 34654 PROTHENA CORP PLC SHS G72800108 1160 46188 SH DFND 2 0 0 46188 QUAKER CHEM CORP COM 747316107 630 2585 SH DFND 1 0 0 2585 RENT A CTR INC NEW COM 76009N100 1414 24528 SH DFND 3 0 0 24528 RYERSON HLDG CORP COM 783754104 292 17133 SH DFND 0 0 17133 SCHLUMBERGER LTD COM 806857108 563 20700 SH Call DFND 1 0 0 20700 SCHWAB CHARLES CORP COM 808513105 4391 67364 SH DFND 5 0 0 67364 SEA LTD SPONSORD ADS 81141R100 378 1694 SH DFND 0 0 1694 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 198 173000 PRN DFND 3 0 0 173000 SIGNATURE BK NEW YORK N Y COM 82669G104 730 3230 SH DFND 3 0 0 3230 SIO GENE THERAPIES INC COMMON 829399104 41 15826 SH DFND 2 0 0 15826 SLACK TECHNOLOGIES INC COM CL A 83088V102 433 10662 SH DFND 0 0 10662 SOLID BIOSCIENCES INC COM 83422E105 137 24746 SH DFND 2 0 0 24746 SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 173 17237 SH DFND 3 0 0 17237 SPLUNK INC COM 848637104 1263 9321 SH DFND 4 0 0 9321 STAR PEAK CORP II UNIT 99/99/9999 855179206 577 55141 SH DFND 4 0 0 55141 STATE STR CORP COM 857477103 1267 15082 SH DFND 1 0 0 15082 STERLING CONSTR INC COM 859241101 348 15000 SH DFND 0 0 15000 SVMK INC COM 78489X103 533 29096 SH DFND 4 0 0 29096 SYNAPTICS INC COM 87157D109 1969 14540 SH DFND 1 0 0 14540 TELADOC HEALTH INC COM 87918A105 1030 5668 SH DFND 4 0 0 5668 TELEFLEX INCORPORATED COM 879369106 415 1000 SH DFND 0 0 1000 TELOS CORP MD COM 87969B101 1047 27620 SH DFND 4 0 0 27620 TEREX CORP NEW COM 880779103 355 7704 SH DFND 1 0 0 7704 TFI INTL INC COM 87241L109 397 5293 SH DFND 3 0 0 5293 TRADEWEB MKTS INC CL A 892672106 2070 27974 SH DFND 5 0 0 27974 TRANSUNION COM 89400J107 202 2247 SH DFND 4 0 0 2247 TRINSEO S A SHS L9340P101 966 15171 SH DFND 0 0 15171 TRITERRAS INC *W EXP 11/10/202 G9103H110 58 34958 SH DFND 4 0 0 34958 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 467 100000 SH DFND 0 0 100000 TWILIO INC CL A 90138F102 2452 7197 SH DFND 4 0 0 7197 UNITED THERAPEUTICS CORP DEL COM 91307C102 721 4309 SH DFND 3 0 0 4309 UNITEDHEALTH GROUP INC COM 91324P102 469 1260 SH DFND 2 0 0 1260 UPLAND SOFTWARE INC COM 91544A109 711 15068 SH DFND 4 0 0 15068 VALMONT INDS INC COM 920253101 891 3748 SH DFND 1 0 0 3748 VERTEX PHARMACEUTICALS INC COM 92532F100 631 2938 SH DFND 2 0 0 2938 VIACOMCBS INC CL B 92556H206 449 9950 SH DFND 3 0 0 9950 VIACOMCBS INC CL B 92556H206 451 10000 SH DFND 0 0 10000 VICTORY CAP HLDGS INC COM CL A 92645B103 1355 53022 SH DFND 3 0 0 53022 VIRTU FINL INC CL A 928254101 535 17237 SH DFND 3 0 0 17237 VISHAY PRECISION GROUP INC COM 92835K103 772 25073 SH DFND 0 0 25073 VISTA OUTDOOR INC COM 928377100 1032 32182 SH DFND 1 0 0 32182 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 545 300000 SH DFND 0 0 300000 VY GLOBAL GROWTH COM CL A G9444H100 136 13444 SH DFND 3 0 0 13444 WORKDAY INC CL A 98138H101 1045 4207 SH DFND 4 0 0 4207 ZENDESK INC COM 98936J101 380 2862 SH DFND 0 0 2862 ZIMMER BIOMET HOLDINGS INC COM 98956P102 261 1632 SH DFND 2 0 0 1632 ZOGENIX INC COM NEW 98978L204 293 15020 SH DFND 2 0 0 15020 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 582 1813 SH DFND 4 0 0 1813 ZUORA INC COM CL A 98983V106 1431 96721 SH DFND 1 0 0 96721