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
X None
Entity Type
0000907593
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 AVE C/O NEW YORK LIFE INSURANCE CO
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
Blunt Christopher O.
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
Fleurant John 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
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 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
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
Kim John Y.
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
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
DeSanto Craig 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 F.
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
Hebron Robert 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
Cristallo James 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
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
McInerney Barbara 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):

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 505
   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 2002-07-14    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 X 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)
Variable Interests in Magnastar Private Placement Variable Universal Life Policies (Magnastar PPVUL)

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 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
M Holdings Securities Inc. 43285
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities Inc. 43285
Street Address 1 Street Address 2
1125 N.W. Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97202
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
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
Wachovia Insurance Services, Inc. 35419
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wachovia Insurance Services, Inc. 35419
Street Address 1 Street Address 2
227 W. Trade Street Suite 1550
City State/Province/Country ZIP/Postal Code
Charlotte NORTH CAROLINA 28202
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
GA Financial, Inc. 42293
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GA Financial, Inc. 42293
Street Address 1 Street Address 2
41 S. High Street Suite 3400
City State/Province/Country ZIP/Postal Code
Columbus OHIO 43215
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KANSAS
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
SOUTH CAROLINA
VIRGINIA
WASHINGTON
WEST VIRGINIA
Recipient
Recipient CRD Number X None
NYLINK Insurance Agency Incorporated None
(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
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
Royal Alliance Associates 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal alliance Associates 23131
Street Address 1 Street Address 2
One World Financial Center 15th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10281
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
American Portfolios Financial Services 18487
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway 4th Floor East
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
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
New Investors World, Inc. 109356
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
New Investors World, Inc. 109356
Street Address 1 Street Address 2
6210 Campbell Road Suite 128
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75248
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
NFP Securities, Inc. 42046
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
1250 Capital of Texas Hwy S#2-125
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
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
Stern Capital LLC 131226
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stern Capital LLC 131226
Street Address 1 Street Address 2
708 Third Avenue Suite 1610
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CALIFORNIA
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
MASSACHUSETTS
NEW JERSEY
NEW YORK
RHODE ISLAND
SOUTH DAKOTA
WYOMING
Recipient
Recipient CRD Number    None
First Montauk Securities Corp. 13755
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Montauk Securities Corp. 13755
Street Address 1 Street Address 2
328 NewmanSprings Road
City State/Province/Country ZIP/Postal Code
Red Bank NEW JERSEY 07701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
NEW JERSEY
Recipient
Recipient CRD Number    None
MAG Financial Inc. 36327
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MAG Financial Inc. 36327
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CALIFORNIA
COLORADO
DISTRICT OF COLUMBIA
FLORIDA
LOUISIANA
MARYLAND
NEW JERSEY
PENNSYLVANIA
VIRGINIA
Recipient
Recipient CRD Number    None
Manor House Capital, LLC 140863
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Manor House Capital, LLC 140863
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
ILLINOIS
MARYLAND
MASSACHUSETTS
NEVADA
NEW JERSEY
NEW YORK
PENNSYLVANIA
SOUTH DAKOTA
TEXAS
UTAH
WISCONSIN
Recipient
Recipient CRD Number    None
Lincoln Financial Advisors Corp. 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corp. 3978
Street Address 1 Street Address 2
1300 South Clinton Street Suite 150
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
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
MML Investors Services, Inc. 10409
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MML Investors Services, Inc. 10409
Street Address 1 Street Address 2
1295 State Street
City State/Province/Country ZIP/Postal Code
Springfield MASSACHUSETTS 01111
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
Deutsche Bank Securities Inc. 2525
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Deutsche Bank Securities Inc. 2525
Street Address 1 Street Address 2
60 Wall Street
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10005
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
Ross Securities Corporation 113796
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ross Securities Corporation 113796
Street Address 1 Street Address 2
1270 Avenue of the Americas 20th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10020
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CONNECTICUT
FLORIDA
NEW JERSEY
NEW YORK
PENNSYLVANIA
SOUTH DAKOTA
Recipient
Recipient CRD Number    None
Park Avenue Securities LLC 46173
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Park Avenue Securities LLC 46173
Street Address 1 Street Address 2
7 Hanover Square
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10004
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
Wealth Preservation Associates LLC 35277
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wealth Preservation Associates LLC 35277
Street Address 1 Street Address 2
521 Fifth Avenue 17th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10175
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
First Liberties Financial 14432
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Liberties Financial 14432
Street Address 1 Street Address 2
369 Lexington Avenue Suite 311
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
KENTUCKY
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
Oglivie Security Advisors Corporation 10105
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Oglivie Security Advisors Corporation 10105
Street Address 1 Street Address 2
71 S Wacker Suite 3025
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
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
World Equity Group, Inc. 29087
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
World Equity Group, Inc. 29087
Street Address 1 Street Address 2
1650 N. Arlington Heights Rd Suite 100
City State/Province/Country ZIP/Postal Code
Arlington Heights ILLINOIS 60004-3984
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
LPL Financial LLC 6413
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LPL Financial LLC 6413
Street Address 1 Street Address 2
1250 Capital of TX Hwy Suite 125, Bldg 2
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746-6395
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
Lion Street Financial 165828
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lion Street Financial 165828
Street Address 1 Street Address 2
515 Congress Avenue Suite 2500
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701-3509
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 $110,445,801 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:
83

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 $5,456,961 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 Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) 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 Janis C. Rubin Janis C. Rubin Vice President 2017-03-10

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.