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
CCO
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