schemaVersion:

N-CEN: Filer Information

Submission Contact Information

Name
 
Phone
 
E-Mail Address
 

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000033925 
Class ID Record:1
Class ID
C000104621 
Class ID Record:2
Class ID
C000104622 
Series ID Record:2
Series ID
S000009442 
Class ID Record:1
Class ID
C000025814 
Class ID Record:2
Class ID
C000025815 
Series ID Record:3
Series ID
S000009448 
Class ID Record:1
Class ID
C000025826 
Class ID Record:2
Class ID
C000025827 
Series ID Record:4
Series ID
S000009438 
Class ID Record:1
Class ID
C000025806 
Class ID Record:2
Class ID
C000025807 
Series ID Record:5
Series ID
S000009425 
Class ID Record:1
Class ID
C000025781 
Class ID Record:2
Class ID
C000025780 
Series ID Record:6
Series ID
S000033928 
Class ID Record:1
Class ID
C000104628 
Class ID Record:2
Class ID
C000104627 
Series ID Record:7
Series ID
S000009441 
Class ID Record:1
Class ID
C000025812 
Class ID Record:2
Class ID
C000025813 
Series ID Record:8
Series ID
S000063068 
Class ID Record:1
Class ID
C000204555 
Class ID Record:2
Class ID
C000204554 
Series ID Record:9
Series ID
S000009440 
Class ID Record:1
Class ID
C000025810 
Class ID Record:2
Class ID
C000025811 
Series ID Record:10
Series ID
S000009432 
Class ID Record:1
Class ID
C000025795 
Class ID Record:2
Class ID
C000025794 
Series ID Record:11
Series ID
S000009427 
Class ID Record:1
Class ID
C000025784 
Class ID Record:2
Class ID
C000168875 
Class ID Record:3
Class ID
C000025785 
Series ID Record:12
Series ID
S000049057 
Class ID Record:1
Class ID
C000154686 
Class ID Record:2
Class ID
C000154685 
Series ID Record:13
Series ID
S000009444 
Class ID Record:1
Class ID
C000025819 
Class ID Record:2
Class ID
C000025818 
Series ID Record:14
Series ID
S000009436 
Class ID Record:1
Class ID
C000025803 
Class ID Record:2
Class ID
C000025802 
Series ID Record:15
Series ID
S000009443 
Class ID Record:1
Class ID
C000025817 
Class ID Record:2
Class ID
C000025816 
Series ID Record:16
Series ID
S000033931 
Class ID Record:1
Class ID
C000104633 
Class ID Record:2
Class ID
C000104634 
Series ID Record:17
Series ID
S000009430 
Class ID Record:1
Class ID
C000025791 
Class ID Record:2
Class ID
C000025790 
Series ID Record:18
Series ID
S000009447 
Class ID Record:1
Class ID
C000025824 
Series ID Record:19
Series ID
S000009445 
Class ID Record:1
Class ID
C000025821 
Class ID Record:2
Class ID
C000025820 
Series ID Record:20
Series ID
S000009439 
Class ID Record:1
Class ID
C000025808 
Class ID Record:2
Class ID
C000025809 
Series ID Record:21
Series ID
S000057212 
Class ID Record:1
Class ID
C000182232 
Series ID Record:22
Series ID
S000033927 
Class ID Record:1
Class ID
C000104625 
Series ID Record:23
Series ID
S000033926 
Class ID Record:1
Class ID
C000104624 
Class ID Record:2
Class ID
C000104623 
Series ID Record:24
Series ID
S000033929 
Class ID Record:1
Class ID
C000104629 
Class ID Record:2
Class ID
C000104630 
Series ID Record:25
Series ID
S000009429 
Class ID Record:1
Class ID
C000025788 
Class ID Record:2
Class ID
C000025789 
Series ID Record:26
Series ID
S000009449 
Class ID Record:1
Class ID
C000025829 
Class ID Record:2
Class ID
C000025828 
Series ID Record:27
Series ID
S000033930 
Class ID Record:1
Class ID
C000104632 
Class ID Record:2
Class ID
C000104631 
Series ID Record:28
Series ID
S000009446 
Class ID Record:1
Class ID
C000025823 
Class ID Record:2
Class ID
C000025822 
Series ID Record:29
Series ID
S000053035 
Class ID Record:1
Class ID
C000166827 
Class ID Record:2
Class ID
C000166826 
Series ID Record:30
Series ID
S000031904 
Class ID Record:1
Class ID
C000099347 
Class ID Record:2
Class ID
C000099348 
Series ID Record:31
Series ID
S000009437 
Class ID Record:1
Class ID
C000025804 
Class ID Record:2
Class ID
C000025805 

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2022-12-31 
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
MAINSTAY VP FUNDS TRUST 
b. Investment Company Act file number ( e.g., 811-)
811-03833-01 
c. CIK
0000887340 
d. LEI
549300AG6K4RXYNOVN04 

Item B.2. Address and telephone number of Registrant.

a. Street 1
51 MADISON AVE 
Street 2
 
b. City
NEW YORK 
c. State, if applicable
NEW YORK  
d. Foreign country, if applicable
UNITED STATES OF AMERICA  
e. Zip code and zip code extension, or foreign postal code
10010 
f. Telephone number (including country code if foreign)
212-576-7000 
g. Public Website, if any
https://www.newyorklifeinvestments.com/investment-products/vp 

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
JPMorgan Chase Bank, N.A. 
b. Street 1
4 Chase Metrotech Center 
Street 2
 
c. City
Brooklyn 
d. State, if applicable
NEW YORK  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
11245 
g. Telephone number (including country code if foreign)
718-242-0609 
h. Briefly describe the books and records kept at this location:
Records relating to its functions as custodian, sub-administrator and accounting agent 

Item B.4. Initial of final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
MainStay Group of Funds 

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked  a. Open-end management investment company registered under the Act on Form N-1A 
Checkbox not checked  b. Closed-end management investment company registered under the Act on Form N-2  
Checkbox not checked  c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 
Checkbox not checked  d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 
Checkbox not checked  e. Small business investment company registered under the Act on Form N-5 
Checkbox not checked  f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 
Checkbox not checked  g. Unit investment trust registered under the Act on Form N-8B-2 
i. Total number of Series of the Registrant
31 

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button checked Yes Radio button not checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Alan R. Latshaw 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-01519 
File Number Record: 2
File Number Record:
811-10027 
File Number Record: 3
File Number Record:
811-04550 
File Number Record: 4
File Number Record:
811-23654 
File Number Record: 5
File Number Record:
811-22551 
Director Record: 2
a. Full Name
Karen Hammond 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-22551 
File Number Record: 2
File Number Record:
811-04550 
File Number Record: 3
File Number Record:
811-23654 
Director Record: 3
a. Full Name
Jacques P. Perold 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-22551 
File Number Record: 2
File Number Record:
811-23654 
File Number Record: 3
File Number Record:
811-04550 
Director Record: 4
a. Full Name
Susan B. Kerley 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-06310 
File Number Record: 2
File Number Record:
811-23654 
File Number Record: 3
File Number Record:
811-06740 
File Number Record: 4
File Number Record:
811-22551 
File Number Record: 5
File Number Record:
811-04052 
File Number Record: 6
File Number Record:
811-04254 
File Number Record: 7
File Number Record:
811-05812 
File Number Record: 8
File Number Record:
811-04550 
Director Record: 5
a. Full Name
David H. Chow 
b. CRD number, if any
001401207 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23654 
File Number Record: 2
File Number Record:
811-22551 
File Number Record: 3
File Number Record:
811-04550 
File Number Record: 4
File Number Record:
811-10325 
Director Record: 6
a. Full Name
Richard S. Trutanic 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23654 
File Number Record: 2
File Number Record:
811-22551 
File Number Record: 3
File Number Record:
811-04550 

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Kevin M. Gleason 
b. CRD Number, if any
000000000 
c. Street Address 1
30 Hudson Street 
Street Address 2
 
d. City
Jersey City 
e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Zip code and zip code extension, or foreign postal code
07302 
h. Telephone number (including country code if foreign)
XXXXXX 
i. Has the chief compliance officer changed since the last filing? Radio button checked Yes Radio button not checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
N/A 
ii. Person's IRS Employer Identification Number
N/A 

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-15758 
Release number Record: 2
i. If yes, provide below the release number for each order
IC-31663 
Release number Record: 3
i. If yes, provide below the release number for each order
IC-32190 
Release number Record: 4
i. If yes, provide below the release number for each order
IC-17318 

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
NYLIFE Distributors LLC 
ii. SEC file number (e.g., 8-)
8-46655 
iii. CRD number
000035350 
iv. LEI, if any
00000000000000000000 
v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button checked Yes Radio button not checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
PricewaterhouseCoopers LLP 
b. PCAOB Number
238 
c. LEI, if any
5493002GVO7EO8RNNS37 
d. State, if applicable
NEW YORK  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button not checked Yes Radio button checked No

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Candriam Emerging Markets Equity Portfolio 

b. Series identication number, if any

S000033925 

c. LEI

549300H81ZJKEJLB5I53 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104621 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104622 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

1,833,957.41000000 

g. Provide the net income from securities lending activities

39,293.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Candriam 
ii. SEC file number ( e.g., 801- ), if applicable

801-80510 

iii. CRD number
000173355 
iv. LEI, if any

549300XGY5ASDHYKF231 

v. State, if applicable
 
vi. Foreign country, if applicable
LUXEMBOURG  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
QATAR  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Standard Chartered Bank Kenya Limited 
ii. LEI, if any

549300RBHWW5EJIRG629 

iii. State, if applicable
 
iv. Foreign country, if applicable
KENYA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
SRI LANKA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Societe Generale Marocaine de Banques 
ii. LEI, if any

549300WHIMVBNIDQWK21 

iii. State, if applicable
 
iv. Foreign country, if applicable
MOROCCO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
TAIWAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED ARAB EMIRATES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
Cititrust Colombia S.A. 
ii. LEI, if any

549300242J3IJCOSGI49 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
HSBC Bank (Vietnam) Ltd. 
ii. LEI, if any

213800H95OG9OHRT4Y78 

iii. State, if applicable
 
iv. Foreign country, if applicable
VIET NAM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
J.P. Morgan Bank International (Limited Liability Company)** 
ii. LEI, if any

549300B831LSRSI6RA15 

iii. State, if applicable
 
iv. Foreign country, if applicable
RUSSIAN FEDERATION  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
HSBC Bank (China) Company Limited 
ii. LEI, if any

2CZOJRADNJXBLT55G526 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHINA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

35,164.45000000 

Brokers Record: 2
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

36,247.46000000 

Brokers Record: 3
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,430.60000000 

Brokers Record: 4
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,747.15000000 

Brokers Record: 5
i. Full name of broker
Credit Agricole Securities (USA) Inc. 
ii. SEC file number

8-13753 

iii. CRD number
000000190 
iv. LEI, if any

549300WO2DKF0Q3YMV43 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,984.58000000 

Brokers Record: 6
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,696.17000000 

Brokers Record: 7
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

37,198.72000000 

Brokers Record: 8
i. Full name of broker
Instinet, LLC 
ii. SEC file number

8-23669 

iii. CRD number
000007897 
iv. LEI, if any

549300MGMN3RKMU8FT57 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

28,236.76000000 

Brokers Record: 9
i. Full name of broker
Societe Generale 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

O2RNE8IBXP4R0TD8PU41 

v. State, if applicable
 
vi. Foreign country, if applicable
FRANCE  
vii. Gross commissions paid by the Fund for the reporting period

11,814.49000000 

Brokers Record: 10
i. Full name of broker
CLSA Americas, LLC 
ii. SEC file number

8-69166 

iii. CRD number
000165533 
iv. LEI, if any

213800M2DXATWY7JMS07 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

13,663.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

206,651.35000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

206,244.31000000 

Principal Transactions Record: 2
i. Full name of dealer
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

134,057.65000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

340,301.96000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

398,701,915.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Growth Allocation Portfolio 

b. Series identication number, if any

S000009442 

c. LEI

549300IXWTQXIRPMWU92 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025814 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025815 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

0.42000000 

Brokers Record: 2
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

386,549.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

386,549.42000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

55,736,014.53999999 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

724,004,787.99000001 

Principal Transactions Record: 3
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

25,877,115.62999999 

Principal Transactions Record: 4
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,107,248.70000000 

Principal Transactions Record: 5
i. Full name of dealer
FNY Capital Management LP 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

549300PXOMC0L1OHLQ47 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

518,351.46000000 

Principal Transactions Record: 6
i. Full name of dealer
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

10,907,971.99000000 

Principal Transactions Record: 7
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,366,846.82999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

853,518,337.13999999 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,450,407,725.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP MacKay High Yield Corporate Bond Portfolio 

b. Series identication number, if any

S000009448 

c. LEI

549300PH47IJB67K8N80 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025826 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025827 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Group Holdings Ltd. 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI Number 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
FORVIS Wealth Advisors, LLC 
ii. LEI, if any, or provide and describe other identifying number

000110905 

Description of other identifying number

CRD 

iii. State, if applicable
MISSOURI  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

118.36000000 

Brokers Record: 2
i. Full name of broker
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6.25000000 

Brokers Record: 3
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4.63000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

129.24000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

17,578,222.75000000 

Principal Transactions Record: 2
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,377,274.75000000 

Principal Transactions Record: 3
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,354,291.04999999 

Principal Transactions Record: 4
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

73,454,382.09999999 

Principal Transactions Record: 5
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

30,990,512.50000000 

Principal Transactions Record: 6
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

26,438,645.32999999 

Principal Transactions Record: 7
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

28,487,324.09000000 

Principal Transactions Record: 8
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

132,393,757.67000000 

Principal Transactions Record: 9
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

106,950,728.12000000 

Principal Transactions Record: 10
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

44,969,401.85999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

642,120,542.02999997 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

2,947,456,622.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Floating Rate Portfolio 

b. Series identication number, if any

S000009438 

c. LEI

549300L3WR2UTWLDL306 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025806 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025807 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
NYL Investors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-78759 

iii. CRD number
000169553 
iv. LEI, if any

5493000EG09WOQURS721 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
IHS Markit Group Holdings Ltd. 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI Number 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

55,159,212.14000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

205,209,987.21000001 

Principal Transactions Record: 3
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

30,297,964.07999999 

Principal Transactions Record: 4
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

51,708,110.03000000 

Principal Transactions Record: 5
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

53,329,213.32999999 

Principal Transactions Record: 6
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

129,713,825.76000001 

Principal Transactions Record: 7
i. Full name of dealer
Mizuho Securities USA LLC 
ii. SEC file number

8-37710 

iii. CRD number
000019647 
iv. LEI, if any

7TK5RJIZDFROZCA6XF66 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

46,619,369.32999999 

Principal Transactions Record: 8
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

70,000,907.21999999 

Principal Transactions Record: 9
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

32,783,834.89000000 

Principal Transactions Record: 10
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

142,822,214.75999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

853,642,617.35000002 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

830,846,445.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Wellington Growth Portfolio 

b. Series identication number, if any

S000009425 

c. LEI

5493007LRC2B414UYD92 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025781 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025780 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

641,954.33 

g. Provide the net income from securities lending activities

5,239.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number ( e.g., 801- ), if applicable

801-15908 

iii. CRD number
000106595 
iv. LEI, if any

549300YHP12TEZNLCX41 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,425.29000000 

Brokers Record: 2
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,969.89000000 

Brokers Record: 3
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6,372.32000000 

Brokers Record: 4
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,779.27000000 

Brokers Record: 5
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,236.25000000 

Brokers Record: 6
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,238.61000000 

Brokers Record: 7
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,828.47000000 

Brokers Record: 8
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,766.15000000 

Brokers Record: 9
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

8-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,273.05000000 

Brokers Record: 10
i. Full name of broker
Allen & Company LLC 
ii. SEC file number

8-12123 

iii. CRD number
000001042 
iv. LEI, if any

549300RO3RYDN328JY68 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,649.27000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

71,367.06000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

155,400.00000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

412,805,303.64999998 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

412,960,703.64999998 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

619,819,134.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 6

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Janus Henderson Balanced Portfolio 

b. Series identication number, if any

S000033928 

c. LEI

549300IH1BE6KCPK8R42 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104628 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104627 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

12,406,213.46000000 

g. Provide the net income from securities lending activities

123,201.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Janus Henderson Investors US LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-13991 

iii. CRD number
000104652 
iv. LEI, if any

G7D5LKZKIBRMES6BO437 

v. State, if applicable
COLORADO  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,372.00000000 

Brokers Record: 2
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6,999.00000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,287.00000000 

Brokers Record: 4
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,554.00000000 

Brokers Record: 5
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,639.00000000 

Brokers Record: 6
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,729.00000000 

Brokers Record: 7
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

8-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,223.00000000 

Brokers Record: 8
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,730.00000000 

Brokers Record: 9
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,789.00000000 

Brokers Record: 10
i. Full name of broker
Liquidnet, Inc. 
ii. SEC file number

8-52461 

iii. CRD number
000103987 
iv. LEI, if any

213800HSKBBO1GCVRG79 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,009.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

92,373.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

969,537,524.13999999 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,814,042,877.58999990 

Principal Transactions Record: 3
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,012,711,670.30000000 

Principal Transactions Record: 4
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

70,224,636.56999999 

Principal Transactions Record: 5
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

137,830,696.05000001 

Principal Transactions Record: 6
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

490,586,091.72000003 

Principal Transactions Record: 7
i. Full name of dealer
NATWEST GROUP PLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

2138005O9XJIJN4JPN90 

v. State, if applicable
 
vi. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

149,905,355.78000000 

Principal Transactions Record: 8
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

201,094,739.84999999 

Principal Transactions Record: 9
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

358,508,223.43000001 

Principal Transactions Record: 10
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

422,222,240.88000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

6,070,301,273.97000030 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,469,128,840.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 7

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Moderate Allocation Portfolio 

b. Series identication number, if any

S000009441 

c. LEI

5493005B2WQWESB52I39 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025812 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025813 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

245,820.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

245,820.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
FNY Capital Management LP 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

549300PXOMC0L1OHLQ47 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,571,497.58000000 

Principal Transactions Record: 2
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

29,930,613.94999999 

Principal Transactions Record: 3
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

30,684,785.78999999 

Principal Transactions Record: 4
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

594,289.35000000 

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

413,923,717.13000000 

Principal Transactions Record: 6
i. Full name of dealer
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,629,278.39000000 

Principal Transactions Record: 7
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

15,826,542.44999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

502,160,724.63999999 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

908,166,638.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 8

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP IQ Hedge Multi-Strategy Portfolio 

b. Series identication number, if any

S000063068 

c. LEI

549300O6VX5PX2Z8O034 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000204555 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000204554 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button not checked Yes Radio button checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-7.83 
2. After Fund fees and expenses (i.e., net asset value):
-8.48 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
15.93 
2. After Fund fees and expenses (i.e., net asset value):
15.93 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

80,450,665.56000000 

g. Provide the net income from securities lending activities

1,049,738.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
IndexIQ Advisors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-68220 

iii. CRD number
000144790 
iv. LEI, if any

549300GES17SMB5H7677 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Standard Bank Namibia Limited 
ii. LEI, if any

254900K6TJFDYKSQWV49 

iii. State, if applicable
 
iv. Foreign country, if applicable
NAMIBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

52,813.00000000 

Brokers Record: 2
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,788.00000000 

Brokers Record: 3
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,673.00000000 

Brokers Record: 4
i. Full name of broker
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

33,873.00000000 

Brokers Record: 5
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

101,885.00000000 

Brokers Record: 6
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19,057.00000000 

Brokers Record: 7
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

41,720.00000000 

Brokers Record: 8
i. Full name of broker
BTIG, LLC 
ii. SEC file number

8-65473 

iii. CRD number
000122225 
iv. LEI, if any

549300GTG9PL6WO3EC51 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,515.00000000 

Brokers Record: 9
i. Full name of broker
Wallachbeth Capital LLC 
ii. SEC file number

8-67936 

iii. CRD number
000147853 
iv. LEI, if any

549300R371KUKXEXC133 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

31,070.00000000 

Brokers Record: 10
i. Full name of broker
BNY Mellon Capital Markets, LLC 
ii. SEC file number

8-35255 

iii. CRD number
000017454 
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

14,179.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

339,467.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,327.94000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

63,758,697.65999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

63,770,025.60000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

319,514,055.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 9

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Equity Allocation Portfolio 

b. Series identication number, if any

S000009440 

c. LEI

549300F2OWKSR55CNY04 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025810 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025811 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

171,834.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

171,834.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

261,753,410.66999999 

Principal Transactions Record: 2
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,242,886.98000000 

Principal Transactions Record: 3
i. Full name of dealer
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,174,449.44000000 

Principal Transactions Record: 4
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

37,890,556.09000000 

Principal Transactions Record: 5
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

13,864,033.86999999 

Principal Transactions Record: 6
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

12,161,246.15000000 

Principal Transactions Record: 7
i. Full name of dealer
FNY Capital Management LP 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

549300PXOMC0L1OHLQ47 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,182,980.13000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

332,269,563.32999998 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

954,258,542.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 10

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Wellington Mid Cap Portfolio 

b. Series identication number, if any

S000009432 

c. LEI

54930047EAJHZR5MMJ62 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025795 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025794 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

20,805,572.62000000 

g. Provide the net income from securities lending activities

76,433.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number ( e.g., 801- ), if applicable

801-15908 

iii. CRD number
000106595 
iv. LEI, if any

549300YHP12TEZNLCX41 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

15,261.88000000 

Brokers Record: 2
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,898.61000000 

Brokers Record: 3
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,917.23000000 

Brokers Record: 4
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

48,708.67000000 

Brokers Record: 5
i. Full name of broker
BTIG, LLC 
ii. SEC file number

8-65473 

iii. CRD number
000122225 
iv. LEI, if any

549300GTG9PL6WO3EC51 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,746.86000000 

Brokers Record: 6
i. Full name of broker
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19,248.90000000 

Brokers Record: 7
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

17,850.53000000 

Brokers Record: 8
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19,071.97000000 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

21,348.92000000 

Brokers Record: 10
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

22,143.58000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

294,166.52000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,557,720.00000000 

Principal Transactions Record: 2
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,008,450.00000000 

Principal Transactions Record: 3
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

208,811,388.84000000 

Principal Transactions Record: 4
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

127,385.84000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

213,504,944.68000001 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

769,569,661.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 11

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP MacKay Convertible Portfolio 

b. Series identication number, if any

S000009427 

c. LEI

549300D9NU5LC6O9PL54 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

3 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025784 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service 2 Class 
ii. Class identification number, if any

C000168875 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 3
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025785 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

134,265,442.27000000 

g. Provide the net income from securities lending activities

2,206,257.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Johnson Rice & Company L.L.C. 
ii. SEC file number

8-37567 

iii. CRD number
000019524 
iv. LEI, if any

5493002HOBQXDBY8GG36 

v. State, if applicable
LOUISIANA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

35,015.70000000 

Brokers Record: 2
i. Full name of broker
Piper Sandler & Co. 
ii. SEC file number

8-15204 

iii. CRD number
000000665 
iv. LEI, if any

549300GRQCWQ3XGH0H10 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,327.98000000 

Brokers Record: 3
i. Full name of broker
SVB Leerink LLC 
ii. SEC file number

8-48535 

iii. CRD number
000039011 
iv. LEI, if any

N/A 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,762.64000000 

Brokers Record: 4
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,761.54000000 

Brokers Record: 5
i. Full name of broker
Raymond James & Associates, Inc. 
ii. SEC file number

8-10999 

iii. CRD number
000000705 
iv. LEI, if any

U4ONQX15J3RO8XCKE979 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19.53000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

43,887.39000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

645,851,786.97000003 

Principal Transactions Record: 2
i. Full name of dealer
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. LEI, if any

5493008F0LRLS5N8LZ81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,259,450.27000000 

Principal Transactions Record: 3
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

8,151,605.89000000 

Principal Transactions Record: 4
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

109,559,308.52000000 

Principal Transactions Record: 5
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

32,520,467.10999999 

Principal Transactions Record: 6
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,134,365.39999999 

Principal Transactions Record: 7
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

39,410,659.89000000 

Principal Transactions Record: 8
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,584,852.53999999 

Principal Transactions Record: 9
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

33,325,132.19000000 

Principal Transactions Record: 10
i. Full name of dealer
MUFG Securities Americas Inc. 
ii. SEC file number

8-43026 

iii. CRD number
000019685 
iv. LEI, if any

K5HU16E3LMSVCCJJJ255 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

24,503,000.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,006,956,459.05999990 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,806,918,181.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 12

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP CBRE Global Infrastructure Portfolio 

b. Series identication number, if any

S000049057 

c. LEI

549300NCMV6NUD9J6V80 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000154686 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000154685 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

152,865.98000000 

g. Provide the net income from securities lending activities

941.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
CBRE Investment Management Listed Real Assets LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-49083 

iii. CRD number
000106256 
iv. LEI, if any

ZLNWJ4DL5ILHESCV3X63 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. LEI, if any

5493008F0LRLS5N8LZ81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

617.76000000 

Brokers Record: 2
i. Full name of broker
MUFG Securities Americas Inc. 
ii. SEC file number

8-43026 

iii. CRD number
000019685 
iv. LEI, if any

K5HU16E3LMSVCCJJJ255 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

771.66000000 

Brokers Record: 3
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,414.72000000 

Brokers Record: 4
i. Full name of broker
Instinet, LLC 
ii. SEC file number

8-23669 

iii. CRD number
000007897 
iv. LEI, if any

549300MGMN3RKMU8FT57 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

955.48000000 

Brokers Record: 5
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,431.19000000 

Brokers Record: 6
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,118.68000000 

Brokers Record: 7
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,237.76000000 

Brokers Record: 8
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,449.27000000 

Brokers Record: 9
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

870.87000000 

Brokers Record: 10
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

802.83000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

21,414.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

33.88000000 

Principal Transactions Record: 2
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

570,528.62000000 

Principal Transactions Record: 3
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

27,223,625.76000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

27,794,188.26 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

32,095,672.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 13

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Income Builder Portfolio 

b. Series identication number, if any

S000009444 

c. LEI

WZQNS9UOCVW6JX8S5652 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025819 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025818 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

6,472,771.46000000 

g. Provide the net income from securities lending activities

67,390.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Epoch Investment Partners, Inc. 
ii. SEC file number ( e.g., 801- ), if applicable

801-63118 

iii. CRD number
000131556 
iv. LEI, if any

549300FT720Z0BVCWS87 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
IHS Markit Group Holdings Ltd. 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI Number 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
TAIWAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7,606.34000000 

Brokers Record: 2
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,377.00000000 

Brokers Record: 3
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7,400.82000000 

Brokers Record: 4
i. Full name of broker
Berenberg Capital Markets LLC 
ii. SEC file number

8-68821 

iii. CRD number
000156757 
iv. LEI, if any

5493007EG0CYRKKG9L11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,570.32000000 

Brokers Record: 5
i. Full name of broker
Daiwa Capital Markets America Inc. 
ii. SEC file number

8-12242 

iii. CRD number
000001576 
iv. LEI, if any

M67H5PRC0NQKM73ZAS82 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,523.00000000 

Brokers Record: 6
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

8-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

18,822.95000000 

Brokers Record: 7
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,091.56000000 

Brokers Record: 8
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

56,295.00000000 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

13,163.27000000 

Brokers Record: 10
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

18,308.28000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

173,811.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
The Hong Kong and Shanghai Banking Corporation Limited 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

2HI3YI5320L3RW6NJ957 

v. State, if applicable
 
vi. Foreign country, if applicable
HONG KONG  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,884,449.03999999 

Principal Transactions Record: 2
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

75,830,437.87000000 

Principal Transactions Record: 3
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

27,143,757.64999999 

Principal Transactions Record: 4
i. Full name of dealer
ROBERT W. BAIRD & CO. INCORPORATED 
ii. SEC file number

8-00497 

iii. CRD number
000008158 
iv. LEI, if any

549300772UJAHRD6LO53 

v. State, if applicable
WISCONSIN  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

13,454,565.02000000 

Principal Transactions Record: 5
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

28,464,725.39999999 

Principal Transactions Record: 6
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

58,388,449.29999999 

Principal Transactions Record: 7
i. Full name of dealer
Amherst Pierpont Securities LLC 
ii. SEC file number

8-68282 

iii. CRD number
000150696 
iv. LEI, if any

549300LGG2RLWD21SU97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

19,701,112.60999999 

Principal Transactions Record: 8
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

648,782,310.07000005 

Principal Transactions Record: 9
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

19,102,172.39000000 

Principal Transactions Record: 10
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

70,866,508.95000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,095,971,095.30000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

592,988,192.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 14

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Wellington U.S. Equity Portfolio 

b. Series identication number, if any

S000009436 

c. LEI

5493007GF2ZLB4J3W453 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025803 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025802 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

82.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number ( e.g., 801- ), if applicable

801-15908 

iii. CRD number
000106595 
iv. LEI, if any

549300YHP12TEZNLCX41 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,157.23000000 

Brokers Record: 2
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,353.55000000 

Brokers Record: 3
i. Full name of broker
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,460.16000000 

Brokers Record: 4
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7,378.13000000 

Brokers Record: 5
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,909.37000000 

Brokers Record: 6
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,722.44000000 

Brokers Record: 7
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,383.41000000 

Brokers Record: 8
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,374.82000000 

Brokers Record: 9
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,356.11000000 

Brokers Record: 10
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,399.38000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

66,325.14000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

316,895,641.83999997 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

316,895,641.83999997 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

899,949,382.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 15

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP S&P 500 Index Portfolio 

b. Series identication number, if any

S000009443 

c. LEI

549300P5U7H81N5DCP83 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025817 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025816 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button not checked Yes Radio button checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-18.10 
2. After Fund fees and expenses (i.e., net asset value):
-18.19 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.02 
2. After Fund fees and expenses (i.e., net asset value):
0.02 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

2,487,235.80000000 

g. Provide the net income from securities lending activities

49,236.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
IndexIQ Advisors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-68220 

iii. CRD number
000144790 
iv. LEI, if any

549300GES17SMB5H7677 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button checked Yes Radio button not checked No
1. If the sub-adviser was hired during the period, indicate the sub-adviser's start date:

2022-06-10 

d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
SubAdvisors Terminated Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- )

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Termination date

2022-06-10 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,268.61000000 

Brokers Record: 2
i. Full name of broker
Instinet, LLC 
ii. SEC file number

8-23669 

iii. CRD number
000007897 
iv. LEI, if any

549300MGMN3RKMU8FT57 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,676.00000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,099.35000000 

Brokers Record: 4
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,870.49000000 

Brokers Record: 5
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

77.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

22,991.45000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

89,198,049.04000000 

Principal Transactions Record: 2
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

499,868.66000000 

Principal Transactions Record: 3
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

10,028,498.16000000 

Principal Transactions Record: 4
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

599,518.26000000 

Principal Transactions Record: 5
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

333,984,458.19999999 

Principal Transactions Record: 6
i. Full name of dealer
Piper Sandler & Co. 
ii. SEC file number

8-15204 

iii. CRD number
000000665 
iv. LEI, if any

549300GRQCWQ3XGH0H10 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

996,591.25000000 

Principal Transactions Record: 7
i. Full name of dealer
MarketAxess Corporation 
ii. SEC file number

8-50727 

iii. CRD number
000044542 
iv. LEI, if any

GPSMMRI21JE7ZCVYF972 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

299,983.32000000 

Principal Transactions Record: 8
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

177,209,652.63000000 

Principal Transactions Record: 9
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

63,014,972.64999999 

Principal Transactions Record: 10
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

19,586,013.66000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

695,728,723.55999994 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

3,215,254,811.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 16

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Pimco Real Return Portfolio 

b. Series identication number, if any

S000033931 

c. LEI

FL0D50RT2GXIMU1UV517 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104633 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104634 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

56,432.76000000 

g. Provide the net income from securities lending activities

555.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Pacific Investment Management Company LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-48187 

iii. CRD number
000104559 
iv. LEI, if any

549300KGPYQZXGMYYN38 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
IHS Markit Group Holdings Ltd. 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI Number 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Cititrust Colombia S.A. 
ii. LEI, if any

549300242J3IJCOSGI49 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
SLOVAKIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
HSBC Bank (China) Company Limited 
ii. LEI, if any

2CZOJRADNJXBLT55G526 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHINA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 38
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 39
i. Full name
HSBC Bank Argentina S.A. 
ii. LEI, if any

549300K52NF2S4SQDO82 

iii. State, if applicable
 
iv. Foreign country, if applicable
ARGENTINA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 40
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 41
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 42
i. Full name
Banco Itau Uruguay S.A. 
ii. LEI, if any

549300HU8OQS1VTVXN55 

iii. State, if applicable
 
iv. Foreign country, if applicable
URUGUAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 43
i. Full name
Stanbic IBTC Bank Plc 
ii. LEI, if any

029200098C3K8BI2D551 

iii. State, if applicable
 
iv. Foreign country, if applicable
NIGERIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 44
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
HSBC Securities (USA) Inc. 
ii. SEC file number

8-41562 

iii. CRD number
000019585 
iv. LEI, if any

CYYGQCGNHMHPSMRL3R97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

225.15000000 

Brokers Record: 2
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

123.11000000 

Brokers Record: 3
i. Full name of broker
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,993.55000000 

Brokers Record: 4
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,758.69000000 

Brokers Record: 5
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,737.79000000 

Brokers Record: 6
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

17,623.93000000 

Brokers Record: 7
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,529.77000000 

Brokers Record: 8
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

844.52000000 

Brokers Record: 9
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

955.32000000 

Brokers Record: 10
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

944.36000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

28,885.55000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,636,382,679.05999990 

Principal Transactions Record: 2
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,279,996,921.60999970 

Principal Transactions Record: 3
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,637,621,965.25000000 

Principal Transactions Record: 4
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,449,341,189.38000010 

Principal Transactions Record: 5
i. Full name of dealer
TD SECURITIES (USA) LLC 
ii. SEC file number

8-36747 

iii. CRD number
000018476 
iv. LEI, if any

SUVUFHICNZMP2WKHG940 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

243,100,993.63000000 

Principal Transactions Record: 6
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

847,442,847.72000003 

Principal Transactions Record: 7
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

8-17822 

iii. CRD number
000002525 
iv. LEI, if any

9J6MBOOO7BECTDTUZW19 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,902,638,649.97000000 

Principal Transactions Record: 8
i. Full name of dealer
SG Americas Securities, LLC 
ii. SEC file number

8-66125 

iii. CRD number
000128351 
iv. LEI, if any

549300F35UE0BOM1WJ55 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

189,100,000.00000000 

Principal Transactions Record: 9
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

229,403,084.78000000 

Principal Transactions Record: 10
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

496,535,577.12000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

17,506,933,967.53999700 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

518,954,137.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 17

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Winslow Large Cap Growth Portfolio 

b. Series identication number, if any

S000009430 

c. LEI

549300CXN2L5ZM6X0G21 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025791 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025790 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

272,346.83000000 

g. Provide the net income from securities lending activities

1,051.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Winslow Capital Management, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-41316 

iii. CRD number
000106940 
iv. LEI, if any

254900Q5GXV5W7IO3M77 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

33,737.70000000 

Brokers Record: 2
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

64,494.00000000 

Brokers Record: 3
i. Full name of broker
Allen & Company LLC 
ii. SEC file number

8-12123 

iii. CRD number
000001042 
iv. LEI, if any

549300RO3RYDN328JY68 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

60,565.50000000 

Brokers Record: 4
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,027.00000000 

Brokers Record: 5
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

25,901.40000000 

Brokers Record: 6
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

25,131.00000000 

Brokers Record: 7
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

43,629.90000000 

Brokers Record: 8
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,202.30000000 

Brokers Record: 9
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

58,480.20000000 

Brokers Record: 10
i. Full name of broker
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. LEI, if any

5493008F0LRLS5N8LZ81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,258.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

424,063.80000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

671,151,974.64999998 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

671,151,974.64999998 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,455,759,994.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 18

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP U.S. Government Money Market Portfolio 

b. Series identication number, if any

S000009447 

c. LEI

5493004ZS0CGTLTW4I06 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025824 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button not checked Yes Radio button checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
NYL Investors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-78759 

iii. CRD number
000169553 
iv. LEI, if any

5493000EG09WOQURS721 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

600,555,251.50000000 

Principal Transactions Record: 2
i. Full name of dealer
Mizuho Securities USA LLC 
ii. SEC file number

8-37710 

iii. CRD number
000019647 
iv. LEI, if any

7TK5RJIZDFROZCA6XF66 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

699,347,922.07000005 

Principal Transactions Record: 3
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,491,085,832.30999990 

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

727,948,809.15999997 

Principal Transactions Record: 5
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,271,627,198.31999990 

Principal Transactions Record: 6
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

512,955,420.63999999 

Principal Transactions Record: 7
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

686,992,533.86000001 

Principal Transactions Record: 8
i. Full name of dealer
TD SECURITIES (USA) LLC 
ii. SEC file number

8-36747 

iii. CRD number
000018476 
iv. LEI, if any

SUVUFHICNZMP2WKHG940 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

10,621,785,507.43000000 

Principal Transactions Record: 9
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,195,006,437.67000010 

Principal Transactions Record: 10
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,444,906,205.70999900 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

31,069,944,724.36999900 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

 

b. Provide the money market fund's daily average net assets during the reporting period

793,836,953.00000000 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 19

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Bond Portfolio 

b. Series identication number, if any

S000009445 

c. LEI

549300KB0UVVQINXSS10 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025821 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025820 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
NYL Investors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-78759 

iii. CRD number
000169553 
iv. LEI, if any

5493000EG09WOQURS721 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

52,534.01000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

52,534.01000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

146,820,153.00000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,131,650,476.29000000 

Principal Transactions Record: 3
i. Full name of dealer
INTL FCStone Financial Inc. 
ii. SEC file number

8-51269 

iii. CRD number
000045993 
iv. LEI, if any

549300LNKU6K5TJCRG93 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

276,133,467.37000000 

Principal Transactions Record: 4
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,061,526,824.61000000 

Principal Transactions Record: 5
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

717,734,452.45000005 

Principal Transactions Record: 6
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

968,474,498.00999999 

Principal Transactions Record: 7
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

354,323,566.50999999 

Principal Transactions Record: 8
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,109,290,218.53000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

706,142,132.00000000 

Principal Transactions Record: 10
i. Full name of dealer
TD SECURITIES (USA) LLC 
ii. SEC file number

8-36747 

iii. CRD number
000018476 
iv. LEI, if any

SUVUFHICNZMP2WKHG940 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

297,665,887.13999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

8,695,286,093.64999960 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

743,196,448.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 20

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Conservative Allocation Portfolio 

b. Series identication number, if any

S000009439 

c. LEI

5493004379J1T4317S04 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025808 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025809 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

155,279.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

155,279.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
FNY Capital Management LP 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

549300PXOMC0L1OHLQ47 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

157,430.23000000 

Principal Transactions Record: 2
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

31,961,283.60000000 

Principal Transactions Record: 3
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

275,749,120.04 

Principal Transactions Record: 4
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,192,209.45 

Principal Transactions Record: 5
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

163,700.25000000 

Principal Transactions Record: 6
i. Full name of dealer
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

16,024,707.67000000 

Principal Transactions Record: 7
i. Full name of dealer
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,220,997.27 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

339,469,448.51 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

576,031,985.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 21

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Indexed Bond Portfolio 

b. Series identication number, if any

S000057212 

c. LEI

549300R9H825LXJSNU29 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000182232 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox checked  Index Fund 
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button not checked Yes Radio button checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-13.08 
2. After Fund fees and expenses (i.e., net asset value):
-13.34 
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.41 
2. After Fund fees and expenses (i.e., net asset value):
0.41 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
NYL Investors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-78759 

iii. CRD number
000169553 
iv. LEI, if any

5493000EG09WOQURS721 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4,896.41000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

4,896.41000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

261,251,515.65000001 

Principal Transactions Record: 2
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

131,801,176.68000001 

Principal Transactions Record: 3
i. Full name of dealer
TD SECURITIES (USA) LLC 
ii. SEC file number

8-36747 

iii. CRD number
000018476 
iv. LEI, if any

SUVUFHICNZMP2WKHG940 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

30,230,399.23999999 

Principal Transactions Record: 4
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

222,129,222.65000001 

Principal Transactions Record: 5
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

110,757,047.50000000 

Principal Transactions Record: 6
i. Full name of dealer
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

41,652,275.38000000 

Principal Transactions Record: 7
i. Full name of dealer
SG Americas Securities, LLC 
ii. SEC file number

8-66125 

iii. CRD number
000128351 
iv. LEI, if any

549300F35UE0BOM1WJ55 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

40,981,002.59000000 

Principal Transactions Record: 8
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

80,663,969.81000000 

Principal Transactions Record: 9
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

166,762,583.03999999 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

105,779,371.40000001 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,312,724,683.22000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

290,512,947.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 22

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Natural Resources Portfolio 

b. Series identication number, if any

S000033927 

c. LEI

549300FESN1ZIO3K4S50 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104625 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

5,813,939.31000000 

g. Provide the net income from securities lending activities

97,761.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Newton Investment Management North America, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-120501 

iii. CRD number
000312937 
iv. LEI, if any

549300USELNALQ9OYY51 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Cititrust Colombia S.A. 
ii. LEI, if any

549300242J3IJCOSGI49 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
MAURITIUS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
HSBC Bank (China) Company Limited 
ii. LEI, if any

2CZOJRADNJXBLT55G526 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHINA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED ARAB EMIRATES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
J.P. Morgan Bank International (Limited Liability Company)** 
ii. LEI, if any

549300B831LSRSI6RA15 

iii. State, if applicable
 
iv. Foreign country, if applicable
RUSSIAN FEDERATION  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
SRI LANKA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
QATAR  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
HSBC Bank Oman S.A.O.G. 
ii. LEI, if any

213800YRPSOSH9OA2V29 

iii. State, if applicable
 
iv. Foreign country, if applicable
OMAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
KUWAIT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 38
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 39
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 40
i. Full name
HSBC Bank Middle East Limited 
ii. LEI, if any

549300F99IL9YJDWH369 

iii. State, if applicable
 
iv. Foreign country, if applicable
BAHRAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 41
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 42
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 43
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 44
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 45
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 46
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 47
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 48
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 49
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

104,071.99000000 

Brokers Record: 2
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

16,910.30000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

66,610.85000000 

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

66,626.36000000 

Brokers Record: 5
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

55,951.65000000 

Brokers Record: 6
i. Full name of broker
Scotia Capital (USA) Inc. 
ii. SEC file number

8-03716 

iii. CRD number
000002739 
iv. LEI, if any

549300BLWPABP1VNME36 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,828.78000000 

Brokers Record: 7
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

49,175.89000000 

Brokers Record: 8
i. Full name of broker
HSBC Securities (USA) Inc. 
ii. SEC file number

8-41562 

iii. CRD number
000019585 
iv. LEI, if any

CYYGQCGNHMHPSMRL3R97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,904.95000000 

Brokers Record: 9
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,303.26000000 

Brokers Record: 10
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,082.65000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

475,894.73000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

267,732,748.69999999 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

267,732,748.69999999 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

382,744,118.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 23

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Small Cap Growth Portfolio 

b. Series identication number, if any

S000033926 

c. LEI

549300VXWSMCSHWOUI87 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104624 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104623 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

8,788,403.18000000 

g. Provide the net income from securities lending activities

76,233.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Segall Bryant & Hamill, LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-47232 

iii. CRD number
000106505 
iv. LEI, if any

54930071TXHX24MK8P61 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
i. Full name
Brown Advisory LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-38826 

iii. CRD number
000110181 
iv. LEI, if any

549300KMFGGW36I79D06 

v. State, if applicable
MARYLAND  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

14,173.42000000 

Brokers Record: 2
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,617.60000000 

Brokers Record: 3
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

21,273.75000000 

Brokers Record: 4
i. Full name of broker
ROBERT W. BAIRD & CO. INCORPORATED 
ii. SEC file number

8-00497 

iii. CRD number
000008158 
iv. LEI, if any

549300772UJAHRD6LO53 

v. State, if applicable
WISCONSIN  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,180.88000000 

Brokers Record: 5
i. Full name of broker
Raymond James & Associates, Inc. 
ii. SEC file number

8-10999 

iii. CRD number
000000705 
iv. LEI, if any

U4ONQX15J3RO8XCKE979 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,578.58000000 

Brokers Record: 6
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,449.76000000 

Brokers Record: 7
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,584.74000000 

Brokers Record: 8
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

30,033.36000000 

Brokers Record: 9
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

15,189.51000000 

Brokers Record: 10
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8,644.07000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

238,580.66000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

295,310,514.32999998 

Principal Transactions Record: 2
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

91,590.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

295,402,104.32999998 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

463,469,974.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 24

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Fidelity Institutional AM Utilities Portfolio 

b. Series identication number, if any

S000033929 

c. LEI

5493008ZJ2RZ5SC8RL13 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104629 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104630 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

3,526,213.08000000 

g. Provide the net income from securities lending activities

16,702.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
FIAM LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-63658 

iii. CRD number
000133196 
iv. LEI, if any

5493004TXEKSUW10AL66 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
HSBC Bank Bermuda Limited 
ii. LEI, if any

0W1U67PTV5WY3WYWKD79 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
SLOVAKIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
Clearstream 
ii. LEI, if any

549300OL514RA0SXJJ44 

iii. State, if applicable
 
iv. Foreign country, if applicable
LUXEMBOURG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
Standard Chartered Bank (Pakistan) Limited 
ii. LEI, if any

549300YTOMKUNPUTB551 

iii. State, if applicable
 
iv. Foreign country, if applicable
PAKISTAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 38
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 39
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 40
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 41
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 42
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 43
i. Full name
J.P. Morgan Bank International (Limited Liability Company)** 
ii. LEI, if any

549300B831LSRSI6RA15 

iii. State, if applicable
 
iv. Foreign country, if applicable
RUSSIAN FEDERATION  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 44
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

42,733.96000000 

Brokers Record: 2
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

70,490.67000000 

Brokers Record: 3
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

34,544.92000000 

Brokers Record: 4
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

25,321.77000000 

Brokers Record: 5
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

29,292.05000000 

Brokers Record: 6
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

22,838.38000000 

Brokers Record: 7
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

23,832.07000000 

Brokers Record: 8
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

54,125.99000000 

Brokers Record: 9
i. Full name of broker
National Financial Services LLC 
ii. SEC file number

8-26740 

iii. CRD number
000013041 
iv. LEI, if any

549300JRHF1MHHWUAW04 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

93,876.15000000 

Brokers Record: 10
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

25,814.52000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

499,392.55000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Brown Brothers Investments, LLC 
ii. SEC file number

8-69731 

iii. CRD number
000282732 
iv. LEI, if any

5493006KMX1VFTPYPW14 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,352,401.29000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

576,887,601.64999998 

Principal Transactions Record: 3
i. Full name of dealer
State Street Global Markets, LLC 
ii. SEC file number

8-69862 

iii. CRD number
000285852 
iv. LEI, if any

549300FDEDF5ORXCMQ56 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

843,050.00000000 

Principal Transactions Record: 4
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,303,800.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

586,386,852.94000006 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,095,791,230.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 25

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Epoch U.S. Equity Yield Portfolio 

b. Series identication number, if any

S000009429 

c. LEI

549300KRQ15DX7GVW891 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025788 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025789 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

6,240,481.14000000 

g. Provide the net income from securities lending activities

21,081.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Epoch Investment Partners, Inc. 
ii. SEC file number ( e.g., 801- ), if applicable

801-63118 

iii. CRD number
000131556 
iv. LEI, if any

549300FT720Z0BVCWS87 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6,738.17000000 

Brokers Record: 2
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,804.89000000 

Brokers Record: 3
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

14,353.56000000 

Brokers Record: 4
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

8-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

37,626.20000000 

Brokers Record: 5
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12,801.36000000 

Brokers Record: 6
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

27,483.08000000 

Brokers Record: 7
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

32,966.75000000 

Brokers Record: 8
i. Full name of broker
ROBERT W. BAIRD & CO. INCORPORATED 
ii. SEC file number

8-00497 

iii. CRD number
000008158 
iv. LEI, if any

549300772UJAHRD6LO53 

v. State, if applicable
WISCONSIN  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,988.65000000 

Brokers Record: 9
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

18,672.38000000 

Brokers Record: 10
i. Full name of broker
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19,397.66000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

220,394.29000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

295,934,252.36000001 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

295,934,252.36000001 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

988,809,212.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 26

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP MacKay International Equity Portfolio 

b. Series identication number, if any

S000009449 

c. LEI

5493001LFCQX1FVGGI90 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025829 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025828 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

2,960,330.84000000 

g. Provide the net income from securities lending activities

10,663.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
HSBC Bank (China) Company Limited 
ii. LEI, if any

2CZOJRADNJXBLT55G526 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHINA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Societe Generale Marocaine de Banques 
ii. LEI, if any

549300WHIMVBNIDQWK21 

iii. State, if applicable
 
iv. Foreign country, if applicable
MOROCCO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Cititrust Colombia S.A. 
ii. LEI, if any

549300242J3IJCOSGI49 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Citibank del Peru S.A. 
ii. LEI, if any

MYTK5NHHP1G8TVFGT193 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
TAIWAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
HSBC France Athens Branch 
ii. LEI, if any

MP6I5ZYZBEU3UXPYFY54 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 38
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 39
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 40
i. Full name
Banco Santander Chile 
ii. LEI, if any

3YJP8HORPAEXJ80D6368 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 41
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 42
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 43
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 44
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Joh. Berenberg, Gossler & Co. KG 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

529900UC2OD7II24Z667 

v. State, if applicable
 
vi. Foreign country, if applicable
GERMANY  
vii. Gross commissions paid by the Fund for the reporting period

116,875.18000000 

Brokers Record: 2
i. Full name of broker
Pershing LLC 
ii. SEC file number

8-17574 

iii. CRD number
000007560 
iv. LEI, if any

ZI8Q1A8EI8LQFJNM0D94 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

123,616.72000000 

Brokers Record: 3
i. Full name of broker
Mizuho Securities USA LLC 
ii. SEC file number

8-37710 

iii. CRD number
000019647 
iv. LEI, if any

7TK5RJIZDFROZCA6XF66 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

91,651.31000000 

Brokers Record: 4
i. Full name of broker
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

146,918.26000000 

Brokers Record: 5
i. Full name of broker
Daiwa Capital Markets America Inc. 
ii. SEC file number

8-12242 

iii. CRD number
000001576 
iv. LEI, if any

M67H5PRC0NQKM73ZAS82 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

94,197.37000000 

Brokers Record: 6
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

93,528.77000000 

Brokers Record: 7
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

73,374.50000000 

Brokers Record: 8
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

64,637.31000000 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

156,932.55000000 

Brokers Record: 10
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

96,743.88000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

1,378,437.71000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

146,592,228.96000001 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

146,592,228.96000001 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

474,542,327.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 27

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP American Century Sustainable Equity Portfolio 

b. Series identication number, if any

S000033930 

c. LEI

549300I82F7Q9FG0VP41 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000104632 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000104631 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

889,621.37000000 

g. Provide the net income from securities lending activities

12,812.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
American Century Investment Management, Inc. 
ii. SEC file number ( e.g., 801- ), if applicable

801-8174 

iii. CRD number
000105778 
iv. LEI, if any

EM2U0UPRO83F878KCP52 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button checked Yes Radio button not checked No
1. If the sub-adviser was hired during the period, indicate the sub-adviser's start date:

2022-05-01 

d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
SubAdvisors Terminated Record: 1
i. Full name
T. Rowe Price Associates, Inc. 
ii. SEC file number ( e.g., 801- )

801-856 

iii. CRD number
000105496 
iv. LEI, if any

7HTL8AEQSEDX602FBU63 

v. State, if applicable
MARYLAND  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Termination date

2022-04-30 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
J.P. Morgan Saudi Arabia Company 
ii. LEI, if any

549300HST49806XTCK29 

iii. State, if applicable
 
iv. Foreign country, if applicable
SAUDI ARABIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
HSBC Bank Malaysia Berhad 
ii. LEI, if any

P3RPN9OJFCXUPJWB1Q09 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,351.58000000 

Brokers Record: 2
i. Full name of broker
National Financial Services LLC 
ii. SEC file number

8-26740 

iii. CRD number
000013041 
iv. LEI, if any

549300JRHF1MHHWUAW04 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,847.82000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,276.47000000 

Brokers Record: 4
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,682.61000000 

Brokers Record: 5
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,230.79000000 

Brokers Record: 6
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,956.95000000 

Brokers Record: 7
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,159.35000000 

Brokers Record: 8
i. Full name of broker
Sanford C. Bernstein & Co., LLC 
ii. SEC file number

8-52942 

iii. CRD number
000104474 
iv. LEI, if any

549300I7JYZHT7D5CO04 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,818.09000000 

Brokers Record: 9
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

57,700.65000000 

Brokers Record: 10
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,331.37000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

89,422.43000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

144,504,917.46000001 

Principal Transactions Record: 2
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,160,529.28000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

148,665,446.74000001 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

499,219,203.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 28

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP MacKay Government Portfolio 

b. Series identication number, if any

S000009446 

c. LEI

5493007I229AFJKX0U56 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025823 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025822 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

25,345.44000000 

g. Provide the net income from securities lending activities

107.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button checked Yes Radio button not checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

084-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,204.85000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

3,204.85000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

37,593,423.63000000 

Principal Transactions Record: 2
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,261,290.63000000 

Principal Transactions Record: 3
i. Full name of dealer
Stephens Inc. 
ii. SEC file number

8-01927 

iii. CRD number
000003496 
iv. LEI, if any

213800LH6T9XDYZCA534 

v. State, if applicable
ARKANSAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,880,913.83000000 

Principal Transactions Record: 4
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

18,083,313.43000000 

Principal Transactions Record: 5
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,307,157.03000000 

Principal Transactions Record: 6
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,502,481.35000000 

Principal Transactions Record: 7
i. Full name of dealer
HSBC Securities (USA) Inc. 
ii. SEC file number

8-41562 

iii. CRD number
000019585 
iv. LEI, if any

CYYGQCGNHMHPSMRL3R97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,063,855.20000000 

Principal Transactions Record: 8
i. Full name of dealer
First Horizon Advisors, Inc. 
ii. SEC file number

8-35061 

iii. CRD number
000017117 
iv. LEI, if any

COOWI3L2W9TPYR3WJX37 

v. State, if applicable
TENNESSEE  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,814,774.25000000 

Principal Transactions Record: 9
i. Full name of dealer
Performance Trust Capital Partners, LLC 
ii. SEC file number

8-47035 

iii. CRD number
000036155 
iv. LEI, if any

549300F8NR5Q23JRIY74 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,453,049.22000000 

Principal Transactions Record: 10
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

187,748,118.93000001 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

311,256,382.55000001 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

254,549,352.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 29

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Wellington Small Cap Portfolio 

b. Series identication number, if any

S000053035 

c. LEI

549300Z6XCJT39O1YL94 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000166827 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000166826 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

11,203,787.68000000 

g. Provide the net income from securities lending activities

78,551.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number ( e.g., 801- ), if applicable

801-15908 

iii. CRD number
000106595 
iv. LEI, if any

549300YHP12TEZNLCX41 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

22,561.62000000 

Brokers Record: 2
i. Full name of broker
Oppenheimer & Co. Inc. 
ii. SEC file number

8-04077 

iii. CRD number
000000249 
iv. LEI, if any

254900VH02JQR2L8XD64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

13,560.98000000 

Brokers Record: 3
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

16,447.31000000 

Brokers Record: 4
i. Full name of broker
BTIG, LLC 
ii. SEC file number

8-65473 

iii. CRD number
000122225 
iv. LEI, if any

549300GTG9PL6WO3EC51 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

45,871.57000000 

Brokers Record: 5
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,973.98000000 

Brokers Record: 6
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

17,624.78000000 

Brokers Record: 7
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

20,718.80000000 

Brokers Record: 8
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,594.89000000 

Brokers Record: 9
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

31,220.40000000 

Brokers Record: 10
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,401.25000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

312,511.19000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Cantor Fitzgerald & Co. 
ii. SEC file number

8-00201 

iii. CRD number
000000134 
iv. LEI, if any

5493004J7H4GCPG6OB62 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

452,000.00000000 

Principal Transactions Record: 2
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

217,850.00000000 

Principal Transactions Record: 3
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

841,419.00000000 

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

224,615,790.66000000 

Principal Transactions Record: 5
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

516,000.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

226,643,059.66000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

433,542,461.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 30

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP MacKay Strategic Bond Portfolio 

b. Series identication number, if any

S000031904 

c. LEI

6C5519UGH7WX3W03CU84 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000099347 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000099348 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

8,179,328.26000000 

g. Provide the net income from securities lending activities

72,781.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
IHS Markit Group Holdings Ltd. 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI Number 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
UniCredit Bank Austria AG 
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Stanbic IBTC Bank Plc 
ii. LEI, if any

029200098C3K8BI2D551 

iii. State, if applicable
 
iv. Foreign country, if applicable
NIGERIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. LEI, if any

549300O1LQYCQ7G1IM57 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Citibank, N.A. 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

55,668.50000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

55,668.50000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Amherst Pierpont Securities LLC 
ii. SEC file number

8-68282 

iii. CRD number
000150696 
iv. LEI, if any

549300LGG2RLWD21SU97 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

23,094,986.98000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

646,327,449.00000000 

Principal Transactions Record: 3
i. Full name of dealer
The Hong Kong and Shanghai Banking Corporation Limited 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

2HI3YI5320L3RW6NJ957 

v. State, if applicable
 
vi. Foreign country, if applicable
HONG KONG  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

26,474,150.85000000 

Principal Transactions Record: 4
i. Full name of dealer
Barclays Capital, Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

57,028,628.79999999 

Principal Transactions Record: 5
i. Full name of dealer
ROBERT W. BAIRD & CO. INCORPORATED 
ii. SEC file number

8-00497 

iii. CRD number
000008158 
iv. LEI, if any

549300772UJAHRD6LO53 

v. State, if applicable
WISCONSIN  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

21,899,652.87999999 

Principal Transactions Record: 6
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

53,212,064.68999999 

Principal Transactions Record: 7
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

79,803,498.82999999 

Principal Transactions Record: 8
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

53,550,985.21000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

89,382,180.10999999 

Principal Transactions Record: 10
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

193,909,608.69000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,471,588,876.21000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

813,970,199.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 73
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 52
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 31

Item C.1. Background information.

a. Full Name of the Fund

MainStay VP Balanced Portfolio 

b. Series identication number, if any

S000009437 

c. LEI

549300HCFHT3ITO8VH62 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Initial Class 
ii. Class identification number, if any

C000025804 

iii. Ticker symbol, if any

N/A 

Shares Outstanding Record: 2
i. Full name of Class
Service Class 
ii. Class identification number, if any

C000025805 

iii. Ticker symbol, if any

N/A 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

9,498,582.43000000 

g. Provide the net income from securities lending activities

88,932.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number ( e.g., 801- ), if applicable

801-15908 

iii. CRD number
000106595 
iv. LEI, if any

549300YHP12TEZNLCX41 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
i. Full name
NYL Investors LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-78759 

iii. CRD number
000169553 
iv. LEI, if any

5493000EG09WOQURS721 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
i. Full name
ii.SEC file number ( e.g., 84- or 85- )

iii. LEI, if any

iv. State, if applicable
v. Foreign country, if applicable
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button not checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

LEI Number 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
i. Full name
ii. LEI, if any, or provide and describe other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button not checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,244.00000000 

Brokers Record: 2
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,030.00000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,413.00000000 

Brokers Record: 4
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,662.00000000 

Brokers Record: 5
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,818.00000000 

Brokers Record: 6
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,864.00000000 

Brokers Record: 7
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7,189.00000000 

Brokers Record: 8
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

70,799.00000000 

Brokers Record: 9
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3,064.00000000 

Brokers Record: 10
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7,853.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

138,852.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

155,556,188.50999999 

Principal Transactions Record: 2
i. Full name of dealer
Nomura Securities International, Inc. 
ii. SEC file number

8-15255 

iii. CRD number
000004297 
iv. LEI, if any

OXTKY6Q8X53C9ILVV871 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

92,475,085.54000000 

Principal Transactions Record: 3
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

280,846,754.00000000 

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

190,935,479.56999999 

Principal Transactions Record: 5
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

229,587,609.28000000 

Principal Transactions Record: 6
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

89,900,805.65999999 

Principal Transactions Record: 7
i. Full name of dealer
TD SECURITIES (USA) LLC 
ii. SEC file number

8-36747 

iii. CRD number
000018476 
iv. LEI, if any

SUVUFHICNZMP2WKHG940 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

132,013,647.16000000 

Principal Transactions Record: 8
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

292,614,510.37000000 

Principal Transactions Record: 9
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

328,274,288.63000000 

Principal Transactions Record: 10
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

112,303,546.69000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

2,176,618,083.11000010 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

398,701,915.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 53
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 72
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 73
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
JPMorgan Chase Bank, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay MacKay Strategic Municipal Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Wellington Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP Wellington Small Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP U.S. Government Money Market Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay ESG Multi-Asset Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP Wellington Mid Cap Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Candriam Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP American Century Sustainable Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP Equity Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay VP Wellington U.S. Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 72
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 73
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked   i. Legal proceedings  
Checkbox not checked  ii. Provision of financial support  
Checkbox checked  iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)  
Checkbox not checked  iv. Change in accounting principles and practices  
Checkbox not checked  v. Information required to be filed pursuant to exemptive orders  
Checkbox not checked  vi. Other information required to be included as an attachment pursuant to Commission rules and regulations 

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
MAINSTAY VP FUNDS TRUST 
Date
2022-12-31 
Signature
Jack Benintende 
Title
Treasurer