The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0000727136
NEW YORK LIFE INSURANCE AND ANNUITY CORP
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Street Address 1 Street Address 2
51 MADISON AVENUE C/O NEW YORK LIFE INSURANCE COMPANY
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
NEW YORK NEW YORK 10010 212-576-7000

3. Related Persons

Last Name First Name Middle Name
Mathas Theodore A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Ashe Christopher T.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Bedard David G.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Brill Elizabeth K.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Gardner Robert M.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Grove Matthew M.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Harte Frank
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hendry Thomas A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Huang Dylan W.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Madgett Mark J.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Miller Amy H.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Seter Arthur H.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Steinberg Joel M.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Wion Matthew D.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Badler Sara L.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
English Thomas J.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Feldstein Eric
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Rubin Janis C.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Meade Colleen A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Cook Alexander I.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
DeSanto Craig L.
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Behrens Dawn
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
X Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
X Over $100,000,000    Over $100,000,000
   Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
X Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 1997-12-16    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Interests in Universal Life Policy (BOLI 3)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $100,000,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
Kenneth D. Miller None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities Inc. 5167
Street Address 1 Street Address 2
300 N. Greene Street
City State/Province/Country ZIP/Postal Code
Greensboro NORTH CAROLINA 27401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
Raymond Schoenke None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Schoenke & Associates Securities Corp 31245
Street Address 1 Street Address 2
20250 Century Blvd.
City State/Province/Country ZIP/Postal Code
Germantown MARYLAND 20874
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
VIRGINIA
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
TENNESSEE
TEXAS
CALIFORNIA
FLORIDA
MARYLAND
NORTH CAROLINA
MASSACHUSETTS
Recipient
Recipient CRD Number X None
Clark Consulting None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities Inc. 43803
Street Address 1 Street Address 2
2100 Ross Avenue Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
TBG Financial & Insurance Services 26984
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TBG Financial & Insurance Services 26984
Street Address 1 Street Address 2
100 North Sepulveda Blvd. Suite 500
City State/Province/Country ZIP/Postal Code
El Segunda CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Executive Services Securities 25299
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Executive Services Securities 25299
Street Address 1 Street Address 2
3445 Peachtree Road N.E. Suite 200
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30326
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
VERMONT
HAWAII
MAINE
VIRGINIA
MICHIGAN
DELAWARE
IDAHO
IOWA
MARYLAND
MASSACHUSETTS
ARKANSAS
UTAH
ILLINOIS
INDIANA
MINNESOTA
ARIZONA
MISSOURI
MONTANA
MISSISSIPPI
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
TEXAS
ALABAMA
NORTH CAROLINA
NEBRASKA
NEW YORK
GEORGIA
NEVADA
TENNESSEE
CALIFORNIA
OKLAHOMA
OHIO
WYOMING
FLORIDA
SOUTH DAKOTA
SOUTH CAROLINA
CONNECTICUT
WEST VIRGINIA
DISTRICT OF COLUMBIA
KENTUCKY
WISCONSIN
KANSAS
OREGON
LOUISIANA
WASHINGTON
COLORADO
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Tower Square Securities Inc. 833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Tower Square Securities Inc. 833
Street Address 1 Street Address 2
1095 Avenue of the Americas
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10036
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
FAS Corp. 43536
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FAS Corp. 43536
Street Address 1 Street Address 2
4747 West 135th Street Suite 100
City State/Province/Country ZIP/Postal Code
Leawood KANSAS 66224
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
HAWAII
NEW YORK
GEORGIA
NEVADA
TENNESSEE
CALIFORNIA
MAINE
OKLAHOMA
VIRGINIA
MICHIGAN
OHIO
IDAHO
DELAWARE
FLORIDA
IOWA
MARYLAND
MASSACHUSETTS
SOUTH CAROLINA
UTAH
ILLINOIS
INDIANA
CONNECTICUT
WEST VIRGINIA
MINNESOTA
DISTRICT OF COLUMBIA
KENTUCKY
ARIZONA
WISCONSIN
MISSOURI
KANSAS
OREGON
MISSISSIPPI
LOUISIANA
NEW HAMPSHIRE
WASHINGTON
NEW JERSEY
ALABAMA
TEXAS
COLORADO
NORTH CAROLINA
PENNSYLVANIA
NORTH DAKOTA
NEBRASKA
Recipient
Recipient CRD Number    None
ValMark Securities, Inc. 31243
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ValMark Securities, Inc. 31243
Street Address 1 Street Address 2
130 Springside Drive Suite 300
City State/Province/Country ZIP/Postal Code
Akron OHIO 44333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Newport Group Securities, Inc. 29722
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Group Securities, Inc. 29722
Street Address 1 Street Address 2
300 International Parkway Suite 270
City State/Province/Country ZIP/Postal Code
Heathrow FLORIDA 32746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
NYLIFE Securities LLC 5167
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
51 Madison Avenue Room 713
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Douglas Forstrom 1155360
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
208 West 2nd Street
City State/Province/Country ZIP/Postal Code
Fairmont MINNESOTA 56031
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH DAKOTA
ILLINOIS
MINNESOTA
TEXAS
WISCONSIN
IOWA
MISSISSIPPI
Recipient
Recipient CRD Number    None
Triad Insurance, Inc. 25803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Insurance, Inc. 25803
Street Address 1 Street Address 2
5155 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Peachtree Corners GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Advisor Networks, LLC 13572
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisor Networks, LLC 13572
Street Address 1 Street Address 2
200 N Sepulveda Boulevard
City State/Province/Country ZIP/Postal Code
El Segundo CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $545,593,981 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
2

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $3,000,000 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
NEW YORK LIFE INSURANCE & ANNUITY CORP Dawn Behrens Dawn Behrens Vice President 2020-03-11

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.