0001172661-21-002313.txt : 20211115
0001172661-21-002313.hdr.sgml : 20211115
20211115142650
ACCESSION NUMBER: 0001172661-21-002313
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211115
DATE AS OF CHANGE: 20211115
EFFECTIVENESS DATE: 20211115
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: 211409192
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
09-30-2021
09-30-2021
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
11-15-2021
5
207
157161
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
722
30875
SH
DFND
5
0
0
30875
8X8 INC NEW
COM
282914100
78
3355
SH
DFND
0
0
3355
ABBVIE INC
COM
00287Y109
206
1910
SH
DFND
2
0
0
1910
ACADEMY SPORTS & OUTDOORS IN
COM
00402L107
1319
32960
SH
DFND
3
0
0
32960
ACCOLADE INC
COM
00437E102
318
7531
SH
DFND
2
0
0
7531
ACCOLADE INC
COM
00437E102
1640
38883
SH
DFND
5
0
0
38883
ADVANSIX INC
COM
00773T101
1020
25650
SH
DFND
0
0
25650
AEROJET ROCKETDYNE HLDGS INC
COM
007800105
240
5500
SH
DFND
0
0
5500
AGILON HEALTH INC
COM
00857U107
221
8417
SH
DFND
2
0
0
8417
ALBIREO PHARMA INC
COM
01345P106
1070
34301
SH
DFND
2
0
0
34301
ALDEYRA THERAPEUTICS INC
COM
01438T106
497
56653
SH
DFND
2
0
0
56653
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1005
6788
SH
DFND
0
0
6788
ALIGHT INC
COM CL A
01626W101
915
79714
SH
DFND
1
0
0
79714
ALPHABET INC
CAP STK CL A
02079K305
864
323
SH
DFND
0
0
323
ALPHABET INC
CAP STK CL C
02079K107
1375
516
SH
DFND
4
0
0
516
ALPHABET INC
CAP STK CL C
02079K107
746
280
SH
DFND
3
0
0
280
AMAZON COM INC
COM
023135106
558
170
SH
DFND
3
0
0
170
AMAZON COM INC
COM
023135106
1166
355
SH
DFND
4
0
0
355
AMEDISYS INC
COM
023436108
230
1540
SH
DFND
2
0
0
1540
AMERICAN OUTDOOR BRANDS INC
COM
02875D109
440
17900
SH
DFND
0
0
17900
AMERICAN WOODMARK CORPORATIO
COM
030506109
872
13347
SH
DFND
0
0
13347
AON PLC
SHS CL A
G0403H108
195
681
SH
DFND
0
0
681
AON PLC
SHS CL A
G0403H108
1443
5050
SH
DFND
5
0
0
5050
ARCHROCK INC
COM
03957W106
342
41437
SH
DFND
0
0
41437
ARENA PHARMACEUTICALS INC
COM NEW
040047607
717
12041
SH
DFND
2
0
0
12041
ASSEMBLY BIOSCIENCES INC
COM
045396108
73
20909
SH
DFND
2
0
0
20909
B. RILEY FINANCIAL INC
COM
05580M108
402
6811
SH
DFND
3
0
0
6811
BARCLAYS PLC
ADR
06738E204
1272
497977
SH
DFND
0
0
497977
BENSON HILL INC
COMMON STOCK
082490103
266
37252
SH
DFND
4
0
0
37252
BETTERWARE DE MXC S A B DE C
SHS NEW
P1666E105
757
21285
SH
DFND
3
0
0
21285
BLACKBAUD INC
COM
09227Q100
1322
18797
SH
DFND
1
0
0
18797
BLACKSTONE INC
COM
09260D107
430
3692
SH
DFND
3
0
0
3692
BLUELINX HLDGS INC
COM NEW
09624H208
118
2418
SH
DFND
0
0
2418
BLUELINX HLDGS INC
COM NEW
09624H208
3428
70111
SH
DFND
5
0
0
70111
BP PLC
SPONSORED ADR
055622104
688
150000
SH
DFND
0
0
150000
BRIGHTSPHERE INVT GROUP INC
COM
10948W103
841
32173
SH
DFND
0
0
32173
BRIGHTVIEW HLDGS INC
COM
10948C107
207
14000
SH
DFND
0
0
14000
BUILDERS FIRSTSOURCE INC
COM
12008R107
145
2803
SH
DFND
0
0
2803
BUILDERS FIRSTSOURCE INC
COM
12008R107
1421
27456
SH
DFND
5
0
0
27456
CAL MAINE FOODS INC
COM NEW
128030202
549
15188
SH
DFND
0
0
15188
CANNAE HLDGS INC
COM
13765N107
566
18207
SH
DFND
0
0
18207
CASTLIGHT HEALTH INC
CL B
14862Q100
405
258271
SH
DFND
4
0
0
258271
CHEFS WHSE INC
COM
163086101
1014
31146
SH
DFND
1
0
0
31146
CHEGG INC
COM
163092109
785
11547
SH
DFND
1
0
0
11547
CLARUS CORP NEW
COM
18270P109
2011
78444
SH
DFND
1
0
0
78444
CLOUDFLARE INC
CL A COM
18915M107
2240
19889
SH
DFND
4
0
0
19889
COMMSCOPE HLDG CO INC
COM
20337X109
149
11000
SH
DFND
0
0
11000
COMPASS INC
CL A
20464U100
979
73845
SH
DFND
4
0
0
73845
CONTAINER STORE GROUP INC
COM
210751103
802
84200
SH
DFND
0
0
84200
CONVEY HLDG PARENT INC
COM
21258C108
477
56762
SH
DFND
2
0
0
56762
CORNERSTONE ONDEMAND INC
COM
21925Y103
258
4500
SH
Call
DFND
1
0
0
4500
COWEN INC
CL A NEW
223622606
380
11065
SH
DFND
3
0
0
11065
CROWDSTRIKE HLDGS INC
CL A
22788C105
737
3000
SH
DFND
4
0
0
3000
CUE BIOPHARMA INC
COM
22978P106
754
51766
SH
DFND
2
0
0
51766
CURO GROUP HOLDINGS CORP
COM
23131L107
927
53504
SH
DFND
3
0
0
53504
DATADOG INC
CL A COM
23804L103
851
6017
SH
DFND
4
0
0
6017
DOMA HOLDINGS INC
COMMON STOCK
25703A104
259
34950
SH
DFND
4
0
0
34950
DOMO INC
COM CL B
257554105
2752
32595
SH
DFND
4
0
0
32595
DONALDSON INC
COM
257651109
781
13611
SH
DFND
1
0
0
13611
DONNELLEY FINL SOLUTIONS INC
COM
25787G100
786
22712
SH
DFND
3
0
0
22712
DROPBOX INC
CL A
26210C104
1716
58721
SH
DFND
1
0
0
58721
E L F BEAUTY INC
COM
26856L103
561
19300
SH
DFND
0
0
19300
ECOVYST INC
COM
27923Q109
842
72187
SH
DFND
0
0
72187
EMCORE CORP
COM NEW
290846203
396
53000
SH
DFND
0
0
53000
ENDAVA PLC
ADS
29260V105
576
4239
SH
DFND
0
0
4239
EQUITABLE HLDGS INC
COM
29452E101
819
27647
SH
DFND
3
0
0
27647
EVO PMTS INC
CL A COM
26927E104
1353
57152
SH
DFND
1
0
0
57152
EVOLENT HEALTH INC
CL A
30050B101
1021
32932
SH
DFND
1
0
0
32932
EXICURE INC
COM
30205M101
473
394175
SH
DFND
2
0
0
394175
EZCORP INC
CL A NON VTG
302301106
193
25539
SH
DFND
0
0
25539
EZCORP INC
CL A NON VTG
302301106
1808
238852
SH
DFND
5
0
0
238852
FACEBOOK INC
CL A
30303M102
1139
3355
SH
DFND
3
0
0
3355
FACEBOOK INC
CL A
30303M102
1359
4004
SH
DFND
4
0
0
4004
FARMER BROS CO
COM
307675108
185
22000
SH
DFND
0
0
22000
FERGUSON PLC NEW
SHS
G3421J106
836
6000
SH
DFND
0
0
6000
FISERV INC
COM
337738108
427
3936
SH
DFND
3
0
0
3936
FISERV INC
COM
337738108
2849
26259
SH
DFND
5
0
0
26259
FISERV INC
COM
337738108
293
2699
SH
DFND
0
0
2699
FLAGSTAR BANCORP INC
COM PAR .001
337930705
285
5616
SH
DFND
3
0
0
5616
FLOWSERVE CORP
COM
34354P105
564
16270
SH
DFND
1
0
0
16270
FLOWSERVE CORP
COM
34354P105
125
3600
SH
Call
DFND
1
0
0
3600
FOX CORP
CL A COM
35137L105
344
8567
SH
DFND
0
0
8567
FOX CORP
CL A COM
35137L105
3287
81949
SH
DFND
5
0
0
81949
GALAPAGOS NV
SPON ADR
36315X101
1014
19267
SH
DFND
2
0
0
19267
GALAPAGOS NV
SPON ADR
36315X101
405
7700
SH
Call
DFND
2
0
0
7700
GLOBAL PMTS INC
COM
37940X102
835
5300
SH
Call
DFND
1
0
0
5300
GMS INC
COM
36251C103
666
15200
SH
DFND
0
0
15200
GREEN DOT CORP
CL A
39304D102
839
16666
SH
DFND
1
0
0
16666
GREEN PLAINS INC
COM
393222104
1428
43747
SH
DFND
5
0
0
43747
GREEN PLAINS INC
COM
393222104
2769
84786
SH
DFND
0
0
84786
GREENBRIER COS INC
COM
393657101
776
18041
SH
DFND
0
0
18041
H & E EQUIPMENT SERVICES INC
COM
404030108
1253
36101
SH
DFND
0
0
36101
HAEMONETICS CORP MASS
COM
405024100
210
2973
SH
DFND
2
0
0
2973
HEALTHEQUITY INC
COM
42226A107
614
9487
SH
DFND
1
0
0
9487
HOVNANIAN ENTERPRISES INC
CL A NEW
442487401
1190
12349
SH
DFND
3
0
0
12349
HUMANA INC
COM
444859102
269
692
SH
DFND
2
0
0
692
ICICI BANK LIMITED
ADR
45104G104
764
40500
SH
DFND
0
0
40500
ICON PLC
SHS
G4705A100
838
3200
SH
DFND
0
0
3200
INFINERA CORP
COM
45667G103
1439
172944
SH
DFND
1
0
0
172944
INGERSOLL RAND INC
COM
45687V106
941
18671
SH
DFND
1
0
0
18671
INTERNATIONAL MNY EXPRESS IN
COM
46005L101
237
14200
SH
DFND
0
0
14200
INTERNATIONAL MNY EXPRESS IN
COM
46005L101
890
53312
SH
DFND
3
0
0
53312
IOVANCE BIOTHERAPEUTICS INC
COM
462260100
192
7800
SH
Call
DFND
2
0
0
7800
IOVANCE BIOTHERAPEUTICS INC
COM
462260100
521
21132
SH
DFND
2
0
0
21132
KALEYRA INC
COM
483379103
478
43456
SH
DFND
4
0
0
43456
KALVISTA PHARMACEUTICALS INC
COM
483497103
350
20066
SH
DFND
2
0
0
20066
KBR INC
COM
48242W106
1241
31500
SH
DFND
0
0
31500
KEZAR LIFE SCIENCES INC
COM
49372L100
418
48349
SH
DFND
2
0
0
48349
KIRBY CORP
COM
497266106
306
6389
SH
DFND
1
0
0
6389
LEGACY HOUSING CORP
COM
52472M101
400
22251
SH
DFND
0
0
22251
LITHIA MTRS INC
COM
536797103
600
1891
SH
DFND
3
0
0
1891
LIVEVOX HOLDING INC
COM CL A
53838L100
356
54669
SH
DFND
4
0
0
54669
LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
1037
1653154
SH
DFND
0
0
1653154
LOCKHEED MARTIN CORP
COM
539830109
442
1280
SH
DFND
0
0
1280
LOWES COS INC
COM
548661107
224
1103
SH
DFND
3
0
0
1103
LSI INDS INC OHIO
COM
50216C108
1212
156329
SH
DFND
0
0
156329
M/I HOMES INC
COM
55305B101
347
6006
SH
DFND
3
0
0
6006
MACONDRAY CAP ACQUISITN CORP
UNIT 05/31/2028
G5853A123
592
59327
SH
DFND
4
0
0
59327
MACYS INC
COM
55616P104
202
8942
SH
DFND
0
0
8942
MACYS INC
COM
55616P104
1837
81270
SH
DFND
5
0
0
81270
MASTERCARD INCORPORATED
CL A
57636Q104
232
666
SH
DFND
3
0
0
666
MAXAR TECHNOLOGIES INC
COM
57778K105
425
15000
SH
DFND
0
0
15000
MEIRAGTX HLDGS PLC
COM
G59665102
294
22308
SH
DFND
2
0
0
22308
METACRINE INC
COM
59101E103
304
88656
SH
DFND
2
0
0
88656
MICROSOFT CORP
COM
594918104
560
1987
SH
DFND
0
0
1987
MICROSOFT CORP
COM
594918104
639
2268
SH
DFND
3
0
0
2268
MOMENTIVE GLOBAL INC
COM
60878Y108
500
25526
SH
DFND
4
0
0
25526
MONGODB INC
CL A
60937P106
1109
2352
SH
DFND
4
0
0
2352
MORPHIC HLDG INC
COM
61775R105
305
5380
SH
DFND
2
0
0
5380
NATWEST GROUP PLC
SPONS ADR 2 ORD
639057108
831
274348
SH
DFND
0
0
274348
NORDSON CORP
COM
655663102
1128
4735
SH
DFND
1
0
0
4735
NORTHWEST PIPE CO
COM
667746101
276
11663
SH
DFND
0
0
11663
NVENT ELECTRIC PLC
SHS
G6700G107
885
27381
SH
DFND
1
0
0
27381
NVIDIA CORPORATION
COM
67066G104
462
2230
SH
DFND
3
0
0
2230
NVR INC
COM
62944T105
791
165
SH
DFND
0
0
165
OCEANEERING INTL INC
COM
675232102
229
17155
SH
DFND
1
0
0
17155
OKTA INC
CL A
679295105
330
1390
SH
DFND
4
0
0
1390
ONESPAN INC
COM
68287N100
315
16756
SH
DFND
0
0
16756
OPENDOOR TECHNOLOGIES INC
COM
683712103
39
1924
SH
DFND
0
0
1924
OPENDOOR TECHNOLOGIES INC
COM
683712103
361
17576
SH
DFND
5
0
0
17576
OPERA LTD
SPONSORED ADS
68373M107
310
34989
SH
DFND
1
0
0
34989
ORION ENGINEERED CARBONS S A
COM
L72967109
1094
60000
SH
DFND
0
0
60000
OSCAR HEALTH INC
CL A
687793109
251
14439
SH
DFND
2
0
0
14439
PANACEA ACQUISITION CORP II
CL A SHS
G6882C106
142
14568
SH
DFND
2
0
0
14568
PARK AEROSPACE CORP
COM
70014A104
246
18000
SH
DFND
0
0
18000
PAYPAL HLDGS INC
COM
70450Y103
851
3270
SH
DFND
3
0
0
3270
PELOTON INTERACTIVE INC
CL A COM
70614W100
800
9194
SH
DFND
4
0
0
9194
PERSHING SQUARE TONTINE HLDG
COM CL A
71531R109
207
10484
SH
DFND
0
0
10484
PFSWEB INC
COM NEW
717098206
194
15000
SH
DFND
0
0
15000
PFSWEB INC
COM NEW
717098206
512
39678
SH
DFND
3
0
0
39678
PINDUODUO INC
NOTE 12/0
722304AC6
160
173000
PRN
DFND
3
0
0
173000
PINTEREST INC
CL A
72352L106
750
14730
SH
DFND
4
0
0
14730
PLANET FITNESS INC
CL A
72703H101
475
6045
SH
DFND
0
0
6045
PROQR THRAPEUTICS N V
SHS EURO
N71542109
183
21830
SH
DFND
2
0
0
21830
PROTHENA CORP PLC
SHS
G72800108
1770
24849
SH
DFND
2
0
0
24849
QUAKER CHEM CORP
COM
747316107
371
1559
SH
DFND
1
0
0
1559
REALOGY HLDGS CORP
COM
75605Y106
345
19670
SH
DFND
3
0
0
19670
REDWIRE CORPORATION
COM
75776W103
102
10585
SH
DFND
0
0
10585
REDWIRE CORPORATION
COM
75776W103
189
19599
SH
DFND
5
0
0
19599
RENT A CTR INC NEW
COM
76009N100
1457
25925
SH
DFND
3
0
0
25925
SCHWAB CHARLES CORP
COM
808513105
242
3321
SH
DFND
0
0
3321
SCHWAB CHARLES CORP
COM
808513105
2167
29751
SH
DFND
5
0
0
29751
SEA LTD
SPONSORD ADS
81141R100
514
1613
SH
DFND
0
0
1613
SEABOARD CORP DEL
COM
811543107
697
170
SH
DFND
0
0
170
SHATTUCK LABS INC
COM
82024L103
265
12989
SH
DFND
2
0
0
12989
SHOPIFY INC
NOTE 0.125%11/0
82509LAA5
212
173000
PRN
DFND
3
0
0
173000
SIGNATURE BK NEW YORK N Y
COM
82669G104
304
1118
SH
DFND
3
0
0
1118
SIO GENE THERAPIES INC
COMMON
829399104
86
39442
SH
DFND
2
0
0
39442
SONOS INC
COM
83570H108
777
24021
SH
DFND
3
0
0
24021
STERLING CONSTR INC
COM
859241101
476
21000
SH
DFND
0
0
21000
SYNAPTICS INC
COM
87157D109
1452
8078
SH
DFND
1
0
0
8078
TABOOLA.COM LTD
ORD SHS
M8744T106
478
56543
SH
DFND
4
0
0
56543
TALKSPACE INC
COM
87427V103
84
23000
SH
DFND
0
0
23000
TELADOC HEALTH INC
COM
87918A105
580
4577
SH
DFND
4
0
0
4577
TELOS CORP MD
COM
87969B101
767
26986
SH
DFND
4
0
0
26986
TFI INTL INC
COM
87241L109
353
3458
SH
DFND
3
0
0
3458
THE BEAUTY HEALTH COMPANY
COM CL A
88331L108
365
14062
SH
DFND
0
0
14062
TILE SHOP HLDGS INC
COM
88677Q109
2477
322945
SH
DFND
0
0
322945
TILE SHOP HLDGS INC
COM
88677Q109
3233
421465
SH
DFND
5
0
0
421465
TRINSEO S A
SHS
L9340P101
819
15179
SH
DFND
0
0
15179
TUESDAY MORNING CORP
COM
89904V101
427
152612
SH
DFND
1
0
0
152612
TURNING PT BRANDS INC
COM
90041L105
758
15866
SH
DFND
3
0
0
15866
TWILIO INC
CL A
90138F102
1744
5467
SH
DFND
4
0
0
5467
UNISYS CORP
COM NEW
909214306
1106
44000
SH
DFND
0
0
44000
UNITED THERAPEUTICS CORP DEL
COM
91307C102
593
3212
SH
DFND
3
0
0
3212
UPLAND SOFTWARE INC
COM
91544A109
324
9699
SH
DFND
4
0
0
9699
VALMONT INDS INC
COM
920253101
646
2748
SH
DFND
1
0
0
2748
VERISK ANALYTICS INC
COM
92345Y106
861
4300
SH
Call
DFND
1
0
0
4300
VERTEX PHARMACEUTICALS INC
COM
92532F100
216
1190
SH
DFND
2
0
0
1190
VIACOMCBS INC
CL B
92556H206
395
10000
SH
DFND
0
0
10000
VICTORY CAP HLDGS INC
COM CL A
92645B103
1014
28951
SH
DFND
3
0
0
28951
VIRTU FINL INC
CL A
928254101
409
16726
SH
DFND
3
0
0
16726
VIRTUS INVT PARTNERS INC
COM
92828Q109
1818
5857
SH
DFND
3
0
0
5857
VISHAY PRECISION GROUP INC
COM
92835K103
261
7500
SH
DFND
0
0
7500
VISTA OUTDOOR INC
COM
928377100
727
18023
SH
DFND
1
0
0
18023
VODAFONE GROUP PLC NEW
SPONSORED ADR
92857W308
1258
824265
SH
DFND
0
0
824265
WARRIOR MET COAL INC
COM
93627C101
426
18293
SH
DFND
0
0
18293
WIX COM LTD
NOTE 8/1
92940WAD1
174
180000
PRN
DFND
3
0
0
180000
WORKDAY INC
CL A
98138H101
815
3262
SH
DFND
4
0
0
3262
XPERI HOLDING CORP
COM
98390M103
309
16410
SH
DFND
1
0
0
16410
XPERI HOLDING CORP
COM
98390M103
40
2100
SH
Call
DFND
1
0
0
2100
ZENDESK INC
COM
98936J101
513
4404
SH
DFND
0
0
4404
ZETA GLOBAL HOLDINGS CORP
CL A
98956A105
4595
784215
SH
DFND
0
0
784215
ZOGENIX INC
COM NEW
98978L204
587
38670
SH
DFND
2
0
0
38670
ZUORA INC
COM CL A
98983V106
1564
94322
SH
DFND
1
0
0
94322
ZYNGA INC
CL A
98986T108
298
39500
SH
Call
DFND
1
0
0
39500
ZYNGA INC
CL A
98986T108
897
119082
SH
DFND
1
0
0
119082