485APOS 1 d668821d485apos.htm 485A POS 485A POS

As filed with the Securities and Exchange Commission on February 19, 2014

Registration No. 333-166664

811-07798

 

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.

 

 

FORM N-6

 

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

   þ

 

  Post-Effective Amendment No. 8    þ

 

  and   
 

REGISTRATION STATEMENT

UNDER

   þ
  THE INVESTMENT COMPANY ACT OF 1940   

 

  Amendment No. 114    þ

 

 

NYLIAC VARIABLE UNIVERSAL LIFE SEPARATE ACCOUNT-I

(Exact Name of Registrant)

 

 

NEW YORK LIFE INSURANCE AND

ANNUITY CORPORATION

(Name of Depositor)

51 Madison Avenue, New York, New York 10010

(Address of Depositor’s Principal Executive Office)

Depositor’s Telephone Number: (212) 576-7000

Charles A. Whites, Jr., Esq.

New York Life Insurance and Annuity Corporation

51 Madison Avenue

New York, New York 10010

(Name and Address of Agent for Service)

 

 

Copy to:

 

Stephen E. Roth, Esq.   Thomas F. English, Esq.
Sutherland Asbill & Brennan LLP   Senior Vice President, Deputy General Counsel
1275 Pennsylvania Avenue, NW   and Chief Insurance Counsel
Washington, DC 20004-2415   New York Life Insurance Company
  51 Madison Avenue
  New York, New York 10010

It is proposed that this filing will become effective:

 

  ¨ immediately upon filing pursuant to paragraph (b) of Rule 485.

 

  ¨ on May 1, 2013 pursuant to paragraph (b) of Rule 485.

 

  þ 60 days after filing pursuant to paragraph (a)(i) of Rule 485.

 

  ¨ on             pursuant to paragraph (a)(i) of 485.

If appropriate, check the following box:

 

  ¨ this post-effective amendment designates a new effective date for a previously filed post-effective amendment.

 

 

 


Explanatory Note

Registrant is filing this Post-Effective Amendment No. 8 (the “Amendment”) to correct the maximum charge for the Life Extension Benefit Rider. We are asking that the Amendment become effective automatically 60 days after filing pursuant to Rule 485(a)(1), on April 21, 2014. Registrant will file a subsequent amendment pursuant to Rule 485(b) to include annual update changes to the registration statement and the prospectus contained therein.

The Amendment includes a supplement to the prospectus for New York Life Lifetime Wealth Variable Universal Life. The supplement to the prospectus contained in the Amendment for the New York Life Lifetime Wealth Variable Universal Life notes the corrected maximum charge for the Life Extension Benefit Rider. This Amendment is not intended to amend or delete any part of the registration statement, except as specifically noted herein. No other material changes were made to the supplement to the prospectus contained in the Amendment.


SUPPLEMENT DATED FEBRUARY 19, 2014

TO THE PROSPECTUS, DATED MAY 1, 2013, AS AMENDED

NEW YORK LIFE LIFETIME WEALTH VARIABLE UNIVERSAL LIFE

INVESTING IN

NYLIAC VARIABLE UNIVERSAL LIFE SEPARATE ACCOUNT – I

This supplement amends the May 1, 2013 prospectus as amended, (the “Prospectus”), for the above referenced New York Life variable universal life insurance policy. You should read this information carefully and retain this supplement for future reference together with the Prospectus. This supplement is not valid unless it is read in conjunction with the Prospectus. All capitalized terms used but not defined herein have the same meaning as those included in the Prospectus.

The purpose of this supplement is to correct the Maximum charge for the Life Extension Benefit Rider for New York Life Lifetime Wealth Variable Universal Life.

Keeping this purpose in mind, please note the following:

The Maximum charge listed in the Table of Fees and Expenses—Periodic Charges Other than Funds’ Operating Expenses for the Life Extension Benefit Rider is hereby deleted and replaced with the following:

Life Extension Benefit Rider:             Maximum: 144% of the cost of insurance

 

 

New York Life Insurance and Annuity Corporation

(A Delaware Corporation)

51 Madison Avenue

New York, New York 10010


PART C. OTHER INFORMATION

ITEM 26. EXHIBITS

 

  Board of Directors Resolution
(a)   Resolution of the Board of Directors of NYLIAC establishing the Separate Account — Previously filed as Exhibit 1.(1) to Registrant’s initial Registration Statement on Form S-6, re-filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(1) to Registrant’s Post-Effective Amendment No. 4 on Form S-6 for NYLIAC Variable Universal Life Separate Account—I (File No. 033-64410), filed 4/25/97 and incorporated herein by reference.
(b)   Custodian Agreements. Not applicable.
(c)   Underwriting Contracts.
(c)(1)   Distribution Agreement between NYLIFE Securities Inc. and NYLIAC — Previously filed as Exhibit 1.(3)(a) to Post-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC MFA Separate Account-I (File No. 002-86084), re-filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1. (3)(a)(1) to Post-Effective Amendment No. 4 to the registration statement on Form S-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 033-64410), filed 4/25/97 and incorporated herein by reference.
(c)(2)   Distribution Agreement between NYLIFE Distributors Inc. and NYLIAC — Previously filed as Exhibit (3)(b) to Post-Effective Amendment No. 1 to the Registration Statement on Form N-4 for NYLIAC Variable Annuity Separate Account-III (File No. 033-87382), filed 4/18/96 and incorporated herein by reference.
(c)(3)   Distribution and Underwriting Agreement, dated April 27, 2006, between New York Life Insurance and Annuity Corporation and NYLIFE Distributors LLC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (c)(3) to Post-Effective Amendment No. 16 on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-48300), filed 8/15/06 and incorporated herein by reference.
(d)   Contracts.
(d)(1)   Form of Policy for Lifetime Wealth Variable Universal Life Insurance Policy (No. 310-91) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(1) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(2)   Pre-Approved Increase Rider (No. 310-660) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(2) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(3)   Monthly Deduction Waiver (MDW) Rider (No. 310-320) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(3) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(4)   Living Benefits Rider (No. 929-495) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(5)(h) to Registrant’s Pre-Effective Amendment No. 1 on Form S-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-79309), filed 7/23/99 and incorporated herein by reference.
(d)(5)   Insurance Exchange Rider (IER) (No. 310-471) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(d)(5) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account—I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(6)   Spouse’s Paid-Up Insurance Purchase Option (SPPO) Rider (No. 305-375) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(9) to the initial Registration Statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-147707), filed 11/29/07 and incorporated herein by reference.
(d)(7)   Guaranteed Minimum Death Benefit (GMDB) Rider (No. 308-296) - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(11) to the initial Registration Statement on Form N-6, for NYLIAC Variable Universal Life Separate Account — I (File No. 333-147707), filed 11/29/07 and incorporated herein by reference.
(d)(8)   Term Insurance on Other Covered Insured (OCI) Rider (No. 308-340) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(13) to the initial Registration Statement on Form N-6, for NYLIAC Variable Universal Life Separate Account — I (File No. 333-147707), filed 11/29/07 and incorporated herein by reference.
(d)(9)   Accidental Death Benefit (ADB) Rider (No. 829-200) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 5(a) to the Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-79309), filed 7/23/99 and incorporated herein by reference.
(d)(10)   Overloan Protection Rider (OLP) (No. 308-940) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(10) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(11)   Childern’s Insuance (CI) Rider (No. 793-345) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(18) to the initial Registration Statement on Form N-6, for NYLIAC Variable Universal Life Separate Account — I (File No. 333-147707), filed 11/29/07 and incorporated herein by reference.
(d)(12)   Lifetime Extension Benefit Rider (No. 310-350) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(13) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 10/28/10 and incorporated herein by reference.
(d)(13)   Guaranteed Minimum Accumulation Benefit (GMAB) Rider (No. 312-670) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(14) to Post-Effective Amendment No. 4 to the Registration Statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 3/1/12 and incorportaed herein by reference.
(d)(14)   Waiver of Specified Premium (WSP) Rider (No. 312-321) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(15) to Post-Effective Amendment No. 4 to the Registration Statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 3/1/12 and incorportaed herein by reference.
(d)(15)   Form of Policy for Flexible Premium Variable Universal Life Insurance (No. 310-91) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (d)(16) to Post-Effective Amendment No. 5 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 4/26/12 and incorporated herein by reference.
(e)   Applications.
(e)(1)   Form of application for a Policy (No. 204-500) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (e)(1) to the initial registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-156513), filed 12/30/08 and incorporated herein by reference.
(e)(2)   Form of application for a Policy (No. 209-500) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (e)(2) to the initial Registration Statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-147707), filed 11/29/07 and incorporated herein by reference.
(e)(3)   Form of Application for a Policy (No. 211-500) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102 (e) as Exhibit (e)(4) to Post-Effective Amendment No. 5 to the Registration Statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-156513), filed 4/17/12 and incorporated harein by reference.
(f)   Depositor’s Certificate of Incorporation and By-Laws.
(f)(1)   Restated Certificate of Incorporation of NYLIAC — Previously filed as Exhibit (6)(a) to the registration statement on Form S-6 for NYLIAC MFA Separate Account-I (File No. 002-86083), re-filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(6)(a) to the initial registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617), filed 7/3/96 and incorporated herein by reference.
(f)(1)(a)   Amended and Restated Certificate of Incorporation of NYLIAC (executed May 1, 2009)- Previously filed as Exhibit 6(a)(1) to the registration statement on Form N-4 for the NYLIAC MFA Separate Account - I (File No. 2-86083), filed 4/12/13 and incorporated herein by reference.
(f)(2)   By-Laws of NYLIAC — Previously filed as Exhibit (6)(b) to the registration statement on Form S-6 for NYLIAC MFA Separate Account-I (File No. 002-86083), re-filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(6)(b) to the initial registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617), and filed 7/3/96 and incorporated herein by reference.

 

C-1


(f)(2)(a)   Amendments to By-Laws of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(6)(b)(2) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-39157), filed 4/3/98 and incorporated herein by reference.
(f)(2)(b)   Amended and Restated By-Laws of NYLIAC (executed May 1, 2009)- Previously filed as Exhibit 6(b)(3) to the registration statement on Form N-4 for the NYLIAC MFA Separate Account - I (File No. 2-86083), filed 4/12/13 and incorporated herein by reference.
(g)   Reinsurance Contracts.
  Not applicable.
(h)   Participation Agreements.
(h)(1)   Stock Sale Agreement between NYLIAC and MainStay VP Series Fund, Inc. (formerly New York Life MFA Series Fund, Inc.) - Previously filed as Exhibit 1.(9) to Registrant’s Pre-Effective Amendment No. 1 on Form S-6, refiled as Exhibit 1.(9)(a) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617), filed 1/2/97 and incorporated herein by reference.
(h)(2)   Participation Agreement between Janus Aspen Series and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(9)(b)(3) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617), filed 1/2/97 and incorporated herein by reference.
(h)(3)   Participation Agreement among Morgan Stanley Universal Funds, Inc., Morgan Stanley Asset Management Inc. and NYLIAC - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(9)(b)(4) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617), filed 1/2/97 and incorporated herein by reference.
(h)(4)   Participation Agreement among Variable Insurance Products Fund, Fidelity Distributors Corporation and NYLIAC as amended, dated November 23, 2009 — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 8(f) to Post-Effective Amendment No. 24 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/13/10 and incorporated herein by reference.
(h)(5)   Participation Agreement among The Alger American Fund, Fred Alger and Company, Incorporated and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 1.(9)(b)(2) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-07617) filed 1/2/97, and incorporated herein by reference.
(h)(6)   Form of Participation Agreement among T. Rowe Price Equity Series, Inc., T. Rowe Price Associates, Inc. and NYLIAC - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(h) to Post-Effective Amendment No. 7 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/16/98 and incorporated herein by reference.
(h)(7)   Form of Participation Agreement among Van Eck Worldwide Insurance Trust, Van Eck Associates Corporation and NYLIAC - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(i) to Post-Effective Amendment No. 7 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (File No. 033-53342), filed 4/16/98 and incorporated herein by reference.
(h)(8)   Form of Fund Participation Agreement among MFS Variable Insurance Trust, Massachusetts Financial Services Company and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(j) to Post-Effective Amendment No. 7 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/16/98 and incorporated herein by reference.
(h)(9)   Form of Fund Participation Agreement among American Century Variable Portfolios, Inc.; American Century Investment Management, Inc.; American Century Investment Services, Inc.; American Century Services Corporation; and NYLIAC — Previously filed in accordance with Regulation S-T, 19 CFR 232.102(e) as Exhibit 1.(9)(b)(12) to Post-Effective Amendment No. 3 to the registration statement on Form S-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 4/10/02 and incorporated herein by reference.
(h)(10)   Form of Substitution Agreement among NYLIAC, MainStay Management LLC, and New York Life Investment Management LLC - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (9)(s) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-57210), filed 6/4/01 and incorporated herein by reference.

 

C-2


(h)(11)   Form of Fund Participation Agreement, dated June 5, 2007, among New York Life Insurance and Annuity Corporation, Lincoln Variable Insurance Products Trust, Lincoln Financial Distributors, Inc. and Lincoln Investment Advisors Corporation — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(28) to Post Effective Amendment No. 18 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account - I (File No. 333-48300), filed 6/5/07 and incorporated herein by reference.
(h)(12)   Amendment dated 9/27/02 to Stock Sale Agreement dated 6/4/93 between NYLIAC and MainStay VP Series Fund, Inc. — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(n) to Post-Effective Amendment No. 18 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-III (File No. 033-87382), filed 4/9/03 and incorporated herein by reference.
(h)(13)   Participation Agreement among New York Life Insurance and Annuity Corporation, MainStay VP Series Fund, Inc., and New York Life Investment Management LLC dated 10/7/04 — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(y) to Post-Effective Amendment No. 20 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account I (File No. 033-53342), filed 4/10/06 and incorporated herein by reference.
(h)(14)   Form of Participation Agreement among Royce Capital Fund, Royce & Associates, LLC and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(19) to Post-Effective Amendment No. 10 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 6/25/04 and incorporated herein by reference.
(h)(15)   Form of Participation Agreement by and among AIM Variable Insurance Funds, AIM Distributors, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(22) to Post-Effective Amendment No. 13 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 9/15/05 and incorporated herein by reference.
(h)(16)   Form of Participation Agreement, dated May 1, 2007, among New York Life Insurance and Annuity Corporation, AllianceBernstein L.P. and AllianceBernstein Investments, Inc. — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(26) to Post-Effective Amendment No. 17 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 4/18/07 and incorporated herein by reference.
(h)(17)   Form of Participation Agreement, dated May 1, 2007, among New York Life Insurance and Annuity Corporation, DWS Variable Series I, DWS Variable Series II, and DWS Investments VIT Funds, DWS Scudder Distributors, Inc. and Deutsche Investment Management Americas Inc. — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(27) to Post-Effective Amendment No. 17 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 4/18/07 and incorporated herein by reference.
(h)(18)   Form of Participation Agreement among NYLIAC, PIMCO Variable Insurance Trust and PIMCO Advisors Distributors LLC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(17) to Post-Effective Amendment No. 9 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I (File No. 333-48300), filed 4/14/04 and incorporated herein by reference.
(h)(19)   Form of Fund Participation Agreement, dated August 14, 2006, among New York Life Insurance and Annuity Corporation, Delaware VIP Trust, Delaware Management Company, and Delaware Distributors, L.P. — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(25) to Post Effective Amendment No. 16 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account -- I (File No. 333-48300), filed 8/15/06 and incorporated herein by reference.
(h)(20)   Form of Fund Participation Agreement among Neuberger Berman Advisers Management Trust, Neuberger Berman Management Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (9)(q) to Pre-Effective Amendment No. 1 to the registration statement on Form S-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-57210), filed 6/4/01 and incorporated herein by reference.
(h)(21)   Form of Participation Agreement between Victory Variable Insurance Funds, BISYS Fund Services Limited Partnership, Victory Capital Management, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(o) to Post-Effective Amendment No. 16 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (File No. 033-53342), filed 4/5/04 and incorporated herein by reference.
(h)(22)   Form of Participation Agreement among Liberty Variable Investment Trust, Columbia Funds Distributor, Inc. and NYLIAC - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(a)(a) to Post-Effective Amendment No. 4 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — IV (File No. 333-106806), filed 10/25/04 and incorporated herein by reference.
(h)(23)   Fund Participation Agreement by and between The Merger Fund VL, Westchester Capital Management, LLC and New York Life Insurance and Annuity Corporation, dated as of 2/14/11 — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(23) to Post-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 4/20/11 and incorporated herein by reference.
(h)(24)   Form of Fund Participation Agreement, dated March 25, 2011, and effective as of May 1, 2011, between BlackRock Variable Series Funds, Inc., BlackRock Investments, LLC, and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 8(b)(b) to Post-Effective Amendment No. 25 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (file No. 033-53342), filed 4/14/11 and incorporated herein by reference.
(h)(25)   Participation Agreement, by and among NYLIAC, DFA Investment Dimensions Group Inc., Dimensional Fund Advisors LP and DFA Securities LLC, dated as of 3/20/12 — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (h)(25) to Post-Effective Amendment No. 5 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 4/26/12 and incorporated herein by reference.
(i)   Administrative Contracts.
(i)(1)   Service Agreement between Fred Alger Management, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102 (e) as Exhibit (i) (1) to Post-Effective Amendment No. 6 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-79309), filed 1/21/03 and incorporated herein by reference.
(i)(2)   Administrative Services Agreement between Janus Capital Corporation and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(3) to Post-Effective Amendment No. 6 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account - I (File No. 333-79309), filed 1/21/03 and incorporated herein by reference.
(i)(3)   Services Agreement between New York Life Investment Management LLC and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(4) to Post-Effective Amendment No. 6 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-79309), filed 1/21/03 and incorporated herein by reference.
(i)(4)   Administrative Services Agreement between T. Rowe Price Associates, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(5) to Post-Effective Amendment No. 6 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account - I (File No. 333-79309), filed 1/21/03 and incorporated herein by reference.
(i)(5)   Service Agreement between Fidelity Investments Institutional Operations Company, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(6) to Post-Effective Amendment No. 6 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-79309), filed 1/21/03 and incorporated herein by reference.
(i)(6)   Administrative Services Agreement between Massachusetts Financial Services Company and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(8) to Post-Effective Amendment No. 3 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-57210), filed 2/12/03 and incorporated herein by reference.
(i)(7)   Form of Administrative and Shareholder Services Letter of Agreement dated 1/16/98 between Van Eck Worldwide Insurance Trust and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(9) to Post- Effective Amendment No. 11 to the registration statement on Form N-4 for NYLIAC Variable Universal Life Separate Account- I (File No. 333-79309), filed 9/13/05 and incorporated herein by reference.
(i)(8)   Services Agreement between American Century Investment Services, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(7) to Post-Effective Amendment No. 3 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-1 (File No. 333-57210), filed 2/12/03 and incorporated herein by reference.
(i)(9)   Administrative Services Agreement between New York Life Investment Management LLC and NYLIAC dated 1/1/05 — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(w) to Post-Effective Amendment No. 20 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (File No. 033-53342), filed 4/10/06 and incorporated herein by reference.
(i)(10)   Administrative Services Agreement by and between Royce & Associates, LLC and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (8)(u) to Post-Effective Amendment No. 18 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/12/05 and incorporated herein by reference.
(i)(11)   Form of Service Agreement by and between AIM Advisors, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(18) to Post-Effective Amendment No. 13 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account - I (File No. 333-48300), filed 9/15/05 and incorporated herein by reference.
(i)(12)   Form of Administrative Services Agreement, dated May 1, 2007, among New York Life Insurance and Annuity Corporation, AllianceBernstein L.P. and AllianceBernstein Investments, Inc. - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(23) to Post-Effective Amendment No. 17 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account - I (File No. 333-48300), filed 4/18/07 and incorporated herein by reference.
(i)(13)   Administrative Services Letter of Agreement, dated May 1, 2007, between Deutsche Investment Management Americas, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(14) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-147707), filed 4/14/08 and incorporated herein by reference.
(i)(l4)   Administrative Service Agreement between Morgan Stanley & Co. Incorporated and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(15) to Pre-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account - I (File No. 333-147707), filed on 4/14/08 and incorporated herein by reference.
(i)(15)   Services Agreement between PIMCO Variable Insurance Trust and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102 (e) as Exhibit (i) (13) to Post-Effective Amendment No. 10 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-57210), filed 4/13/05 and incorporated herein by reference.
(i)(16)   Services Agreement between Pacific Investment Management Company LLC and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(14) to Post-Effective Amendment No. 10 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-57210), filed 4/13/05 and incorporated herein by reference.
(i)(17)   Form of Service Agreement, dated May 1, 2007, between Delaware Distributors L.P. and New York Life Insurance and Annuity Corporation, — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(22) to Post Effective Amendment No. 17 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 4/18/07 and incorporated herein by reference.
(i)(18)   Administrative Services Agreement dated June 5, 2007 between Lincoln Investment Advisors Corporation and New York Life Insurance and Annuity Corporation — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i) (25) to Post-Effective Amendment No. 19 to the registration statement on Form N-6 for NYLIAC Corporate Sponsored Variable Universal Life Separate Account — I (File No. 333-48300), filed 12/13/07 and incorporated herein by reference.
(i)(19)   Administrative Services Letter of Agreement between Columbia Funds Distributor, Inc. and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102 (e) as Exhibit (8) (t) to Post-Effective Amendment No. 18 to the Registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/12/05 and incorporated herein by reference.
(i)(20)   Form of Distribution and Administrative Services Agreement, Class S Shares, between Neuberger Berman Management, Inc. and NYLIAC -Previously filed in accordance with Regulation S-T, 17 CFR 232.102 (e) as Exhibit (8)(w) to Post-Effective Amendment No. 19 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-III (File No. 033-87382), filed 5/14/03 and incorporated herein by reference.
(i)(21)   Form of Distribution and Service Agreement, Class A Shares between BISYS Fund Services Limited Partnership and NYLIFE Securities Inc. — Previously filed in accordance with Regulation S-T 17 CFR 232.102 (e) as Exhibit (8) (p) to Post-Effective Amendment No. 16 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account-I (File No. 033-53342), filed 4/5/04 and incorporated herein by reference.
(i)(22)   Administrative Services Agreement by and among The Merger Fund VL, Westchester Capital Management, LLC and New York Life Insurance and Annuity Corporation, dated as of 2/14/11 - Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (i)(22) to Post-Effective Amendment No. 1 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account — I (File No. 333-166664), filed 4/20/11 and incorporated herein by reference.
(i)(23)   Form of Administrative Services Agreement, dated March 25, 2011, and effective as of May 1, 2011, between BlackRock Advisors, LLC and NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit 8(a)(a) to Post-Effective Amendment No. 25 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (File No. 033-53342), filed 4/14/11 and incorporated herein by reference.
(i)(24)   Amended and Restated Administrative Services Agreement between New York Life Investment Management LLC and NYLIAC, dated February 17, 2012 — Previously filed in accordance with Regulation S-T 17 CFR 232.102(e) as Exhibit (8)(c)(c) to Post-Effective Amendment No. 26 to the registration statement on Form N-4 for NYLIAC Variable Annuity Separate Account — I (File No. 033-53342), filed 4/11/12 and incorporated herein by reference.
(j)   Other Material Contracts.
(j)(1)   Powers of Attorney for Christopher T. Ashe, Director and Senior Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(1) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(2)   Powers of Attorney for Christopher O. Blunt, Director and Executive Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(2) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(3)   Powers of Attorney for Frank M. Boccio, Director and Executive Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(3) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(4)   Powers of Attorney for John T. Fleurant, Director of NYLIAC — Previously filed in accordance with Regulation S-T, 17CFR 232.102(e) as Exhibit (j)(4) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(5)   Powers of Attorney for Robert M. Gardner, Director of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(5) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(6)   Powers of Attorney for Steven D. Lash, Director and Senior Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(6) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(7)   Powers of Attorney for Drew E. Lawton, Director of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(7) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(8)   Powers of Attorney for Theodore A. Mathas, Chairmen and President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(8) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(9)   Powers of Attorney for Angelo J. Scialabba, Vice President and Controller of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(9) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.

 

C-3


(j)(10)   Powers of Attorney for Arthur H. Seter, Director and Senior Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(10) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(11)   Powers of Attorney for Michael E. Sproule, Director, Executive Vice President and Chief Financial Officer of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(11) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(12)   Powers of Attorney for Joel M. Steinberg, Director and Senior Vice President of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(12) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(j)(13)   Powers of Attorney for Susan A. Thrope, Director of NYLIAC — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (j)(13) to Post-Effective Amendment No. 23 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-79309), filed 4/17/2013 and incorporated herein by reference.
(k)   Legal Opinion.
  Opinion and consent of Thomas F. English, Esq. — Filed herewith.
(l)   Actuarial Opinion.
  Opinion and consent of Andrew Colton, Actuary — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (l) to Post-Effective Amendment No. 7 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 4/18/2013 and incorporated herein by reference.
(m)   Calculation.
  Sample Calculation of Illustrations — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (m) to Post-Effective Amendment No. 7 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 4/18/2013 and incorporated herein by reference.
(n)   Other Opinions.
(n)(1)   Consent of PricewaterhouseCoopers LLP
  Not applicable.
(o)   Omitted Financial Statements.
  Not applicable.
(p)   Initial Capital Agreements.
  Not applicable.
(q)   Redeemability Exemption.
  Memorandum Describing NYLIAC’s Issuance, Transfer and Redemption Procedures for Policy Pursuant to Rule 6e-3(T)(b)(12)(iii) — Previously filed in accordance with Regulation S-T, 17 CFR 232.102(e) as Exhibit (q) to Post-Effective Amendment No. 7 to the registration statement on Form N-6 for NYLIAC Variable Universal Life Separate Account-I (File No. 333-166664), filed 4/18/2013 and incorporated herein by reference.

 

C-4


ITEM 27. DIRECTORS AND OFFICERS OF THE DEPOSITOR

The principal business address of each director and officer of NYLIAC is 51 Madison Avenue, New York, NY 10010.

 

Name:   

Title:

Mathas, Theodore A.    Chairman & President
Blunt, Christopher O.    Executive Vice President & President Insurance Group
Boccio, Frank M.    Executive Vice President
Fleurant, John T.    Executive Vice President & Chief Financial Officer
Kim, John Y.    Executive Vice President & President Investments Group
Pfaff, Mark W.    Executive Vice President
Ashe, Christopher    Senior Vice President
Banaszek, Annamaria    Senior Vice President
Bennett, Joseph M.    Senior Vice President
Berlin, Scott L.    Senior Vice President
Cole, Thomas    Senior Vice President
Del Secolo, Michael    Senior Vice President & Chief Technology Officer
DeSanto, Craig L.    Senior Vice President & Actuary
DiMella, Robert A.    Senior Vice President
DiRago, John C.    Senior Vice President
English, Thomas F.    Senior Vice President & Chief Legal Officer
Ericksen, Susan B.    Senior Vice President & Chief Information Officer
Fisher, Stephen P.    Senior Vice President
Girard, Thomas J.    Senior Vice President
Grove, Matthew M.    Senior Vice President
Hebron, Robert J.    Senior Vice President
Hendry, Thomas A.    Senior Vice President & Treasurer
Lash, Steven D.    Senior Vice President
Lawton, Drew E.    Senior Vice President
Loffredo, John M.    Senior Vice President
Malloy, Anthony R.    Senior Vice President
McInerney, Barbara J.    Senior Vice President & Chief Compliance Officer
Oleske, Michael M.    Senior Vice President & Chief Tax Counsel
Paternoster, Susan L.    Senior Vice President
Pell, Gideon A.    Senior Vice President
Phlegar, Jeffrey S.    Senior Vice President
Roberts, Dan C.    Senior Vice President
Rocchi, Gerard A.    Senior Vice President
Senser, Jerrold K.    Senior Vice President
Seter, Arthur H.    Senior Vice President & Chief Investment Officer
Shively, George S.    Senior Vice President
Steinberg, Joel M.    Senior Vice President, Chief Risk Officer & Chief Actuary
Talgo, Mark W.    Senior Vice President
Warren, Julia A.    Senior Vice President
Abramo, Stephen    Vice President
Ascione, Mitchell P.    Vice President
Attias, Steven    Vice President & Chief Information Security Officer
Bain, Karen A.    Vice President - Tax
Bartlett, Judy R.    Vice President & Associate Legal Officer
Barton, Jacqueline M.    Vice President
Bonvouloir, John    Vice President
Brill, Elizabeth    Vice President & Actuary
Carbone, Jeanne M.    Vice President
Carey, Christopher H.    Vice President
Chen, Roger    Vice President
Cohen, Louis N.    Vice President
Cristallo, James J.    Vice President & Actuary
Cunningham, Paul K.    Vice President
DeToro, Karen J.    Vice President
Dial, Robert H.    Vice President
Diaz, Mayra L.    Vice President
Donnelly, Kathleen A.    Vice President
Dubrow, Michael G.    Vice President
Feinstein, Jonathan    Vice President
Ferguson, Robert E.    Vice President
Ferraro, Anthony    Vice President & Actuary
Fitzgerald, Edward J.    Vice President
Fong, Michael    Vice President & Actuary
Frawley, Stephanie A.    Vice President
Furlong, Brian    Vice President
Gangemi, Thomas J.    Vice President
Gardner, Robert M.    Vice President
Goldstein, Ross M.    Vice President
Grecco, Nicholas    Vice President
Greene, Paul G.    Vice President
Hamrick, Jane L.    Vice President & Actuary
Hoffman, Eric S.    Vice President
Huang, Dylan W.    Vice President & Actuary
Hynes, Joseph E.    Vice President
Hynes, Robert J.    Vice President
Karmen, Robert    Vice President & Associate Legal Officer
Kimble, Michael    Vice President
Koltisko, Joseph D.    Vice President
Kraus, Linda M.    Vice President
Kravitz, Jodi L.    Vice President & Actuary
Lackey, Michael P.    Vice President
Lamp, Karen J.    Vice President & Associate Legal Officer
Leber, Richard B.    Vice President, Associate Legal Officer & Assistant Secretary
Lenz, Scott L.    Vice President & Associate Tax Counsel
Loutrel, Brian C.    Vice President & Chief Privacy Officer
Lynn, Eric J.    Vice President & Actuary
Marinaccio, Ralph S.    Vice President
McDermott, Gail A.    Vice President
McGinnis, Timothy M.    Vice President
McNamara, Stephen J.    Vice President & Actuary
Moffitt, Eric A.    Vice President
Morris, Ryan J.    Vice President & Actuary
Multer, Corey B.    Vice President
Murphy, Marijo F.    Vice President
Nachman, Charles E.    Vice President
Navarro, Kathleen    Vice President
Pasyanos, Nicholas    Vice President & Actuary
Perry, Valerie L.    Vice President - Underwriting
Petty, Mike    Vice President
Quartararo, Paul    Vice President & Chief Medical Officer
Reimer, Linda M.    Vice President & Associate Legal Officer
Rubin, Janis C.    Vice President
Rzad, Amaury J.    Vice President
Schwartz, Richard C.    Vice President & Actuary
Scialabba, Angelo J.    Vice President
Seewald, Scott R.    Vice President
Shannon, Joseph J.    Vice President
Silber, Irwin    Vice President & Actuary
Smith, Kevin M.    Vice President
Sorg, Thomas C.    Vice President
Suryapranata, Monica    Vice President & Actuary
Tate, William P.    Vice President
Troeller, Thomas J.    Vice President & Actuary
Vaccaro, John    Vice President
Wagenseil, Taylor    Vice President
Wagner, Robin M.    Vice President
Walsh, Richard M.    Vice President
Weinstein, Scott W.    Vice President
Wion, Matthew D.    Vice President & Actuary
Yashnyk, Michael A.    Vice President
Zeng, Paul    Vice President & Actuary
Tillotson, Sandra G.    Associate Legal Officer
Bidwell, Anna Louise    Associate Legal Officer & Secretary

 

C-5


ITEM 28. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH DEPOSITOR OR REGISTRANT

The Depositor, NYLIAC, is a wholly-owned subsidiary of New York Life Insurance Company (“New York Life”). The Registrant is a segregated asset account of NYLIAC. The following chart indicates persons presumed to be controlled by New York Life(+), unless otherwise indicated. Subsidiaries of other subsidiaries are indented accordingly, and ownership is 100% unless otherwise indicated.

 

Name   

Jurisdiction of

Organization

    

Percent of Voting

Securities Owned

ICAP Funds Inc.

     Maryland      

The MainStay Funds(1)

     Massachusetts      

MainStay VP Funds Trust(1)(2)

     Maryland      

MainStay Funds Trust

     Delaware      

New York Life Insurance and Annuity Corporation

     Delaware      

Pacific Square Investments LLC

     Delaware      

29 Park Investments No. 2 Limited

     Cayman Islands      

NYLIFE LLC

     Delaware      

Eagle Strategies LLC

     Delaware      

 

 

(1) Registered investment company as to which New York Life and/or its subsidiaries perform one or more of the following services: investment management, administrative, distribution, transfer agency and underwriting services. It is not a subsidiary of New York Life and is included for informational purposes only.
(2) New York Life Investment Management LLC serves as investment adviser to this entity, the shares of which are held of record by separate accounts of NYLIAC. New York Life disclaims any beneficial ownership and control of this entity. New York Life and NYLIAC as depositors of said separate accounts have agreed to vote their shares as to matters covered in the proxy statement in accordance with voting instructions received from holders of variable annuity and variable life insurance policies at the shareholders meeting of this entity. It is not a subsidiary of New York Life, but is included here for informational purposes only.
(+) By including the indicated corporations in this list, New York Life is not stating or admitting that said corporations are under its actual control; rather, these corporations are listed here to ensure full compliance with the requirements of this Form N-6.

 

C-6


Name   

Jurisdiction of

Organization

  

Percent of Voting

Securities Owned

(NYLIFE LLC subsidiaries cont.)

     

New York Life Capital Corporation

   Delaware   

NYL Management Limited

   United Kingdom   

NYLUK I Company

   United Kingdom   

NYLUK II Company

   United Kingdom   

Gresham Mortgage

   United Kingdom   

W Construction Company

   United Kingdom   

WUT

   United Kingdom   

WIM (AIM)

   United Kingdom   

New York Life Trust Company

   New York   

NYL Executive Benefits LLC

   Delaware   

NYLIFE Securities LLC

   Delaware   

NYLINK Insurance Agency

   Delaware   

Incorporated

     

 

C-7


Name

   Jurisdiction of
Organization
  Percent of Voting
Securities Owned
 

Biris Holdings LLC

   Delaware  

NYL Wind Investments LLC

   Delaware  

New York Life Short Term Fund1

   New York  

NYLIFE Insurance Company of Arizona

   Arizona  

29 Park Investments No. 1 Limited

   Cayman Islands  

New York Life Insurance and Annuity Corporation

   Delaware  

Pacific Square Investments LLC

   Delaware  

29 Park Investments No. 2 Limited

   Cayman Islands  

New York Life Enterprises LLC

   Delaware  

SEAF Sichuan SME Investment Fund LLC

   Delaware     39.98

New York Life Insurance Taiwan Corporation

   Taiwan  

New York Life International Holdings Limited

   Mauritius     12 %2 

New York Life International India Fund (Mauritius) LLC

   Mauritius     92.97

NYL Cayman Holdings Ltd.

   Cayman Islands  

NYL Worldwide Capital Investments LLC

   Delaware  

NYLIFE Thailand, Inc.

   Delaware  

PMCC Ltd.

   Thailand     100

NYLI-VB Asset Management Co. (Mauritius) LLC

   Mauritius     90

Seguros Monterrey New York Life, S.A. de C.V.

   Mexico     99.998 %3 

Administradora de Conductos SMNYL, S.A. de C.V.

   Mexico     99

Agencias de Distribucion SMNYL, S.A. de C.V.

   Mexico     99

New York Life Investment Management Holdings LLC

   Delaware  

Institutional Capital LLC

   Delaware  

MacKay Shields LLC

   Delaware  

MacKay Shields Core Plus Opportunities Fund GP LLC

   Delaware  

MacKay Shields Core Plus / Opportunities Fund LP

   Delaware  

MacKay Municipal Managers Opportunities GP LLC

   Delaware  

MacKay Municipal Opportunities Master Fund, L.P.

   Delaware  

MacKay Municipal Opportunities Fund, L.P.

   Delaware  

MacKay Municipal Managers Credit Opportunities GP LLC

   Delaware  

MacKay Municipal Credit Opportunities Master Fund, L.P.

   Delaware  

MacKay Municipal Credit Opportunities Fund, L.P.

   Delaware  

MacKay Municipal Short Term Opportunities Fund GP LLC

   Delaware  

MacKay Municipal Short Term Opportunities Fund LP

   Delaware  

Plainview Funds plc

   Ireland     50

(MacKay Shields Employee: 50%)

    

Plainview Funds plc – Emerging Markets Credit Portfolio

   Ireland    
 
NYLIC 44.58%;
NYLIAC 44.58
  

Plainview Funds plc – Flexible Bond Portfolio

   Ireland    
 
NYLIC: 36.991;
NYLIAC: 63.009
  

Plainview Funds plc – Unconstrained Bond Portfolio

   Ireland     NYLIC: 100

MacKay Shields Statutory Trust – High Yield Bond Series

   Connecticut9  

MacKay Shields High Yield Active Core Fund GP LLC

   Delaware  

MacKay Shields High Yield Active Core Fund LP

   Delaware  

MacKay Shields Credit Strategy Fund Ltd

   Cayman Islands  

MacKay Shields Defensive Bond Arbitrage Fund Ltd.

   Bermuda     18.64 %4 

MacKay Shields Core Plus Opportunities Fund Ltd.

   Cayman Islands  

MacKay Shields General Partner (L/S) LLC

   Delaware  

MacKay Shields Long/Short Fund LP

   Delaware  

MacKay Shields Long/Short Fund (Master) LP

   Delaware  

MacKay Shields Long/Short Fund (QP) LP

   Delaware  

MacKay Shields Long/Short Fund (Offshore) LP

   Cayman Islands  

MacKay Shields Credit Strategy Partners LP

   Delaware  

MacKay Shields Core Fixed Income Fund GP LLC

   Delaware  

MacKay Shields Core Fixed Income Fund LP

   Delaware  

MacKay Shields Income Opportunities Fund GP, LLC

   Delaware  

MacKay Shields Income Opportunities Delaware Fund, L.P.

   Delaware  

MacKay Shields Income Opportunities Master Fund I, L.P.

   Delaware  

MacKay Shields Income Opportunities Master Fund II, L.P.

   Delaware  

MacKay Shields Income Opportunities Master Fund III, L.P.

   Delaware  

MacKay Shields Income Opportunities SPV 2, LLC

   Delaware  

MacKay Shields (International) Ltd.

   UK     “MSIL”   

MacKay Shields (Services) Ltd.

   UK     “MSSL”   

MacKay Shields UK LLP

   UK    
 
MSIL: 99%;
MSSL: 1
  

MacKay Shields Global Derivatives LLC

   Delaware  

Madison Capital Funding LLC

   Delaware  

Faraday Holdings, LLC

   Delaware     17.75

Interior Specialists, Inc.

   California  

Heritage Interiors ISI, LLC

   Arizona  

SuperFloors ISI, LLC

   Washington  

Home Acres Holdings LLC

   Delaware     50

Home Acres Building Supply Co. LLC (“HASBC”)

   Michigan  

Kobrin Builder’s Supply Holdings, LLC (“KBSH”)

   Michigan     54.95

Kobrin Builders Supply, LLC

   Florida    
 
KBSH: 99.9%;
HABSC: 1
  

V-Line Logistics, LLC

   Indiana  

IDG Holdco, LLC

   Delaware     45.24

Identity Group Holdings Corp.

   Delaware  

Identity Group Holdings LLC

   Delaware  

Business Stationery LLC

   Ohio  

IDG, LLC

   Delaware  

SigLet, Inc.

   Delaware  

Redi-Tag Corporation

   California  

Graphics Systems, Inc.

   Kansas  

Scott Sign Systems, Inc.

   Florida  

AdMart Attractions, Inc.

   New York  

MCF Co-Investment GP, LLC

   Delaware  

MCF Co-Investment GP, LP

   Delaware  

Madison Capital Funding Co-Investment Fund, LP

   Delaware  

Madison Avenue Loan Fund GP LLC

   Delaware  

Madison Avenue Loan Fund LP

   Delaware  

MCF Fund I LLC

   Delaware  

PSA-MHF Acquisition, LLC

   Delaware     28.3 %11 

Warwick McAlester Holdings, LLC

   Delaware  

Chancellor Lane, LLC (dba Sullivan Flotation Systems, Inc)

   Delaware  

Electric Avenue, LLC (dba Atlantic-Meeco Holding, Inc.)

   Delaware  

WDC Liquidation Trust (Control is through MFC acting as Trustee-no voting)

    

MCF Capital Management LLC (“MCFCMLLC”)

   Delaware  

OFS Capital WM, LLC

   Delaware9  

MCF CLO I LLC

   Delaware     2.53 %9 

Kirkwood Fund II LLC

   Delaware     2.38 %9 

MCF CLO II LLC

   Delaware9  

LMF WF Portfolio I, LLC

   Delaware9  

Young America Holdings, LLC (“YAH”)

   Delaware     36.35 %9 

YAC.ECOM Incorporated

   Minnesota  

Young America, LLC (“YALLC”)

   Minnesota  

Global Fulfillment Services, Inc.

   Arizona  

SourceOne Worldwide, Inc.

   Minnesota  

YA Canada Corporation

   Nova Scotia, Canada  

Cornerstone Capital Management Holdings LLC

   Delaware  

Cornerstone Capital Management, LLC

   Delaware     51

Madison Square Investors Asian Equity Market Neutral Master Fund Ltd.

   Cayman Is.  

Cornerstone Capital Management Large-Cap Enhanced Index Fund GP, LLC

   Delaware  

Cornerstone Capital Management Large-Cap Enhanced Index Fund, L.P.

   Delaware  

GoldPoint Partners LLC

   Delaware  

New York Life Capital Partners, L.L.C.

   Delaware  

New York Life Capital Partners, L.P.

   Delaware  

New York Life Capital Partners II, L.L.C.

   Delaware  

New York Life Capital Partners II, L.P.

   Delaware  

New York Life Capital Partners III GenPar GP, LLC

   Delaware  

New York Life Capital Partners III GenPar, L.P.

   Delaware  

New York Life Capital Partners III, L.P.

   Delaware  

NYLCAP III RBG Corp.

   Delaware  

New York Life Capital Partners III-A, L.P.

   Delaware  

NYLCAP III-A RBG Corp.

   Delaware  

New York Life Capital Partners IV GenPar GP, LLC

   Delaware  

New York Life Capital Partners IV GenPar, L.P.

   Delaware  

New York Life Capital Partners IV, L.P.

   Delaware  

New York Life Capital Partners IV-A, L.P.

   Delaware  

GoldPoint Partners Co-Investment V GenPar GP LLC

   Delaware  

GoldPoint Partners Co-Investment V GenPar, L.P.

   Delaware  

GoldPoint Partners Co-Investment V, L.P.

   Delaware  

GoldPoint Partners Co-Investment V ECI Blocker Holdco A, LP

   Delaware  

GoldPoint Partners Co-Investment V ECI Blocker A, LP

   Delaware  

NYLCAP 2010 Co-Invest GenPar GP, LLC

   Delaware  

NYLCAP 2010 Co-Invest GenPar L.P.

   Delaware  

NYLCAP 2010 Co-Invest L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco A L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker A L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco B L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker B L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco C L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker C L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco D L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker D L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco E L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker E L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco F L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker F L.P.

   Delaware  

NYLCAP 2010 Co-Invest ECI Blocker Holdco G L.P.

   Delaware  

NYLCAP 2010 C0-Invest ECI Blocker G L.P.

   Delaware  

NYLCAP Canada GenPar Inc.

   Canada  

NYLCAP Select Manager Canada Fund, LP

   Canada  

NYLCAP Canada II GenPar Inc.

   Canada  

NYLCAP Select Manager Canada Fund II, L.P.

   Canada  

NYLIM Mezzanine GenPar GP, LLC

   Delaware  

NYLIM Mezzanine GenPar, LP

   Delaware  

New York Life Investment Management Mezzanine Partners, LP

   Delaware  

NYLIM Mezzanine Partners Parallel Fund, LP

   Delaware  

NYLIM Mezzanine Partners II GenPar GP, LLC

   Delaware  

NYLIM Mezzanine Offshore Partners II, LP

   Cayman Islands  

NYLIM Mezzanine Partners II GenPar, LP

   Delaware  

New York Life Investment Management Mezzanine Partners II, LP

   Delaware  

NYLIM Mezzanine II Luxco S.à.r.l.

   Luxembourg  

NYLIM Mezzanine Partners II Parallel Fund, LP

   Delaware  

NYLIM Mezzanine II Parallel Luxco S.à.r.l.

   Luxembourg  

Voice Holdco Ltd.

   Nova Scotia, Canada     27 %9 

Voice Holdings Ltd.

   Nova Scotia, Canada  

Voice Construction Ltd.

   Alberta, Canada  

Voice Construction Opco ULC

   Alberta, Canada  

NYLCAP Mezzanine Partners III GenPar GP, LLC

   Delaware  

NYLCAP Mezzanine Offshore Partners III-S GP, Limited

   Scotland  

NYLCAP Mezzanine Partners III GenPar, LP

   Delaware  

NYLCAP Mezzanine Partners III-K Fund, LP

   Delaware  

NYLCAP Mezzanine Offshore Partners III-S, LP

   Scotland  

NYLCAP Mezzanine Partners III, LP

   Delaware  

NYLCAP Mezzanine III Luxco S.à.r.l.

   Luxembourg  

NYLCAP Mezzanine Partners III Parallel Fund, LP

   Delaware  

NYLCAP Mezzanine Partners III 2012 Co-Invest, LP

   Delaware  

NYLCAP Mezzanine III 2012 Luxco S.à.r.l

   Luxembourg  

NYLCAP Mezzanine Partners III 2012 Co-Invest ECI Blocker Holdco A, LP

   Delaware  

NYLCAP Mezzanine Partners III 2012 Co-Invest ECI Blocker A, LP

   Delaware  

NYLCAP Mezzanine Offshore Partners III, L.P.

   Cayman Islands  

NYLCAP Select Manager GenPar GP, LLC

   Delaware  

NYLCAP Select Manager GenPar, LP

   Delaware  

NYLCAP Select Manager Fund, LP

   Delaware  

NYLCAP Select Manager Cayman Fund, LP

   Cayman Islands  

NYLCAP Select Manager II GenPar GP, LLC

   Delaware  

NYLCAP Select Manager II GenPar, L.P.

   Cayman Islands  

NYLCAP Select Manager Fund II, L.P.

   Cayman Islands  

NYLCAP India Funding LLC

   Delaware  

NYLIM-JB Asset Management Co., LLC

   Mauritius     24.66 %5 

New York Life Investment Management India Fund II, LLC

   Mauritius  

New York Life Investment Management India Fund (FVCI) II, LLC

   Mauritius  

NYLCAP India Funding III LLC

   Delaware  

NYLIM-Jacob Ballas Asset Management Co. III, LLC

   Mauritius     24.66 %6 

NYLIM Jacob Ballas India Fund III (Mauritius) LLC

    

NYLIM Jacob Ballas Capital India (FVCI) III (Mauritius) LLC

    

NYLIM Jacob Ballas India (FII) III (Mauritius) LLC

    

NYLCAP Holdings

   Mauritius  

Jacob Ballas Capital India PVT. Ltd.

   Mauritius     23.30

NYLIM Service Company LLC

   Delaware  

NYL Workforce GP LLC

   Delaware  

New York Life Investment Management LLC

   Delaware  

New York Life Investment Management (U.K.) Limited

   United Kingdom  

NYLIM Large Cap Enhanced Index Fund p.l.c.

   Ireland  

NYLIM Fund II GP, LLC

   Delaware  

NYLIM Real Estate Mezzanine Fund II, LP

   Delaware  

NYLIM-TND, LLC

   Delaware  

NYLIM-DCM, LLC

   Delaware  

NYLIM-MM, LLC

   Delaware  

DCM-N, LLC

   Delaware     80

DCM Warehouse Series A, LLC

   Delaware  

DCM Warehouse Series One, LLC

   Delaware  

Sixteen West Savannah, LLC

   Indiana  

Metropolis II Construction, LLC

   Delaware  

Streets Las Vegas, LLC

   Arizona     90

NYLIM RE Mezzanine Fund II Investment Corporation

   Delaware  

NYLIM-GCR Fund I, LLC

   Delaware     50

WFHG GP, LLC

   Delaware     50

Workforce Housing Fund I-2007 LP

   Delaware  

New York Life Investments International Limited

   Ireland  

NYLIFE Distributors LLC

   Delaware  

NYLIM Holdings NCVAD GP, LLC

   Delaware  

McMorgan Northern California Value Add/Development Fund I, L.P.

   Delaware     50

MNCVAD-IND Greenwood CA LLC

   Delaware  

Private Advisors L.L.C.

   Delaware     60

Alternative Fund LV, LLC

   Delaware  

Alternative Fund LV II, LLC

   Delaware  

Private Advisors Alternative Asset Fund LLC

   Delaware  

PACIF GP, LLC

   Delaware  

Private Advisors Coinvestment Fund, LP

   Delaware  

PACIF II GP, LLC

   Delaware  

Private Advisors Coinvestment Fund II LP

   Delaware  

PACIF III GP, LLC

   Delaware  

Private Advisors Coinvestment Fund III, LP

   Delaware  

Private Advisors Distressed Opportunities Fund, L.P.

   Delaware  

PA Hedged Equity Fund, L.P.

   Delaware  

Private Advisors Hedged Equity Fund (QP), L.P.

   Delaware
 

Private Advisors Hedged Equity Master Fund

   Delaware7  

PAPEF GP, LLC

   Delaware  

Private Advisors Private Equity Fund, L.P.

   Delaware  

Private Advisors Income Fund, L.P.

   Delaware  

Private Advisors Small Company Buyout Fund, L.P.

   Delaware  

Small Company Buyout Blocker Corp.

   Delaware  

Small Company Buyout ECI, LP

   Delaware  

Small Company Buyout Holding, LP

   Delaware  

Private Advisors Alternative Small Company Buyout Fund, L.P.

   Delaware  

Private Advisors Small Company Buyout Fund II, L.P.

   Delaware  

PASCBF III GP, LLC

   Delaware  

Private Advisors Small Company Buyout Fund III, LP

   Delaware  

PASCBF IV GP, LLC

   Delaware  

Private Advisors Small Company Buyout Fund IV, LP

   Delaware  

PASCBF V GP, LLC

   Delaware  

Private Advisors Small Company Buyout Fund V, LP

   Delaware  

Private Advisors Stable Value Fund, Ltd.

   Cayman Islands  

Montpelier Carry Parent, LLC

   Delaware    
 
PALLC: 50%;
MCFCMLLC: 50
  

Montpelier Carry, LLC

   Delaware  

Montpelier GP, LLC

   Delaware    
 
PALLC: 50%;
MCFCMLLC: 50
  

Montpelier Fund, L.P.

   Delaware  

The Hedged Strategies Fund (QP), LP

   Delaware  

The Hedged Strategies Fund, L.P.

   Delaware  

The Hedged Strategies Master Fund

   Delaware8  

Cuyahoga Capital Partners I Management Group, LLC

   Delaware  

Cuyahoga Capital Partners I, L.P.

   Delaware  

Cuyahoga Capital Partners II Management Group LLC

   Delaware  

Cuyahoga Capital Partners II LP

   Delaware  

Cuyahoga Capital Partners III Management Group LLC

   Delaware  

Cuyahoga Capital Partners III LP

   Delaware  

Cuyahoga Capital Partners IV Management Group LLC

   Delaware  

Cuyahoga Capital Partners IV LP

   Delaware  

Cuyahoga Capital Emerging Buyout Partners Management Group LLC

   Delaware  

Cuyahoga Capital Emerging Buyout Partners LP

   Delaware  

Private Advisors Hedged Equity Fund, Ltd.

   Cayman Islands     0

Private Advisors Hedged Equity Fund (QP), Ltd.

   Cayman Islands     0

Private Advisors Hedged Equity Master Fund, Ltd.

   Cayman Islands    
 
owned by two
funds above
  
  

PA Stable Value Fund, Ltd.

   Cayman Islands     0

Private Advisors Stable Value ERISA Fund, Ltd.

   Cayman Islands     0

Private Advisors Stable Value Master Fund, Ltd.

   Cayman Islands    
 
owned by two
funds above
  
  

The Hedged Strategies Fund (QP), Ltd.

   Cayman Islands     0

Madison Core Property Fund LLC

   Delaware    
 
NYLIM is Non
Member Manager
  
9 

MIREF 1500 Quail, LLC

   Delaware  

MIREF Mission Heritage, LLC

   Delaware  

MIREF Linpro Center, LLC

   Delaware  

MIREF Mill Creek, LLC

   Delaware  

MIREF Gateway, LLC

   Delaware  

MIREF Delta Court, LLC

   Delaware  

MIREF Seaside, LLC

   Delaware  

MIREF Zanker Road, LLC

   Delaware  

MIREF Fremont Distribution Center, LLC

   Delaware  

1101 Taylor Road LLC

   Delaware  

MIREF Century, LLC

   Delaware  

MIREF York Road, LLC

   Delaware  

York Road EW, LLC

   Delaware     64.8

York Road Retail West, LLC

   Delaware     64.8

2001 EW LLC

   Delaware  

2122 EW LLC

   Delaware  

MIREF Saddle River LLC

   Delaware  

Via Verde San Dimas, LLC

   Delaware  

MIREF DC Corp.

   Delaware  

MIREF L Street, LLC

   Delaware  

1901 L Street Corp.

   Delaware  

1901 L Street LLC

   District of Columbia  

MIREF Broadstone Uptown Lofts, LLC

   Delaware  

Texas Broadstone Uptown Lofts, L.P.

   Texas  

MIREF Newpoint Commons, LLC

   Delaware  

MIREF Carol Point, LLC

   Delaware  

MIREF Broadstone Westway Park, LLC

   Delaware  

Texas Broadstone Westway Park, L.P.

   Texas  

MIREF Northsight, LLC

   Delaware  

MIREF Riverside, LLC

   Delaware  

MIREF Corporate Woods, LLC

   Delaware  

MIREF Bedminster, LLC

   Delaware  

MIREF Barton’s Creek, LLC

   Delaware  

Barton’s Lodge Apartments, LLC

   Delaware  

MIREF Marketpointe, LLC

   Delaware  

MIREF 101 East Crossroads, LLC

   Delaware  

101 East Crossroads, LLC

   Delaware  

MIREF Waterview, LLC

   Delaware  

MIREF Chain Bridge, LLC

   Delaware  

1991 Chain Bridge Road, LLC

   Delaware  

MIREF Aptakisic, LLC

   Delaware  

Aptakisic Creek Corporate Park, LLC

   Delaware  

MIREF 250 Montgomery, LLC

   Delaware  

MIREF Hawthorne, LLC

   Delaware  

MIREF Auburn 277, LLC

   Delaware  

MIREF Sumner North, LLC

   Delaware  

MIREF Wellington, LLC

   Delaware  

MIREF Warner Center, LLC

   Delaware  

MADISON-IND Valley Business Park CA LLC

   Delaware  

MADISON-MF Duluth GA LLC

   Delaware  

MADISON-IND Assateague MD LLC

   Delaware  

MADISON-SP Assateague LLC

   Delaware     90

NYLIM Flatiron CLO 2003-1 Ltd.

   Cayman Islands9  

NYLIM Flatiron CLO 2003-1 Equity Holdings LLC, Series A

   Cayman Islands  

NYLIM Flatiron CLO 2004-1 Ltd.

   Cayman Islands  

NYLIM Flatiron CLO 2004-1 Equity Holdings LLC, Series A

   Cayman Islands  

NYLIM Flatiron CLO 2005-1 Ltd.

   Cayman Islands  

NYLIM Flatiron CLO 2005-1 Equity Holdings LLC, Series A

   Cayman Islands  

NYLIM Flatiron CLO 2006-1 Ltd.

   Cayman Islands  

NYLIM Flatiron CLO 2006-1 Equity Holdings LLC, Series A

   Cayman Islands  

Flatiron CLO 2007-1 Ltd.

   Cayman Islands  

NYLIM Flatiron CLO 2007-1 Equity Holdings LLC, Series A

   Cayman Islands  

Flatiron CLO 2011-1 Ltd.

   Cayman Islands  

Flatiron CLO 2012-1 Ltd.

   Cayman Islands  

Flatiron CLO 2013-1-Ltd.

   Cayman Islands  

Flatiron CLO 2013-2-Ltd.

   Cayman Islands  

Stratford CDO 2001-1 Ltd.

   Cayman Islands  

Silverado CLO 2006-II Limited

   Cayman Islands  

Silverado 2006-II Equity Holdings LLC, Series A

   Cayman Islands  

NYLIFE LLC

   Delaware  

Eagle Strategies LLC

   Delaware  

New York Life Capital Corporation

   Delaware  

NYL Management Limited

   United Kingdom  

New York Life Trust Company

   New York  

NYL Executive Benefits LLC

   Delaware  

NYLIFE Securities LLC

   Delaware  

NYLINK Insurance Agency Incorporated

   Delaware  

NYLUK I Company

   United Kingdom  

NYLUK II Company

   United Kingdom  

Gresham Mortgage

   United Kingdom  

W Construction Company

   United Kingdom  

WUT

   United Kingdom  

WIM (AIM)

   United Kingdom  

Silver Spring, LLC

   Delaware  

Silver Spring Associates, L.P.

   Pennsylvania  

SCP 2005-C21-002 LLC

   Delaware  

SCP 2005-C21-003 LLC

   Delaware  

SCP 2005-C21-006 LLC

   Delaware  

SCP 2005-C21-007 LLC

   Delaware  

SCP 2005-C21-008 LLC

   Delaware  

SCP 2005-C21-009 LLC

   Delaware  

SCP 2005-C21-017 LLC

   Delaware  

SCP 2005-C21-018 LLC

   Delaware  

SCP 2005-C21-021 LLC

   Delaware  

SCP 2005-C21-025 LLC

   Delaware  

SCP 2005-C21-031 LLC

   Delaware  

SCP 2005-C21-036 LLC

   Delaware  

SCP 2005-C21-041 LLC

   Delaware  

SCP 2005-C21-043 LLC

   Delaware  

SCP 2005-C21-044 LLC

   Delaware  

SCP 2005-C21-048 LLC

   Delaware  

SCP 2005-C21-061 LLC

   Delaware  

SCP 2005-C21-063 LLC

   Delaware  

SCP 2005-C21-067 LLC

   Delaware  

SCP 2005-C21-069 LLC

   Delaware  

SCP 2005-C21-070 LLC

   Delaware  

NYMH-Ennis GP, LLC

   Delaware  

NYMH-Ennis, L.P.

   Texas  

NYMH-Freeport GP, LLC

   Delaware  

NYMH-Freeport, L.P.

   Texas  

NYMH-Houston GP, LLC

   Delaware  

NYMH-Houston, L.P.

   Texas  

NYMH-Plano GP, LLC

   Delaware  

NYMH-Plano, L.P.

   Texas  

NYMH-San Antonio GP, LLC

   Delaware  

NYMH-San Antonio, L.P.

   Texas  

NYMH-Stephenville GP, LLC

   Delaware  

NYMH-Stephenville, L.P.

   Texas  

NYMH-Taylor GP, LLC

   Delaware  

NYMH-Taylor, L.P.

   Texas  

NYMH-Attleboro MA, LLC

   Delaware  

NYMH-Farmingdale, NY LLC

   Delaware  

NYLMDC-King of Prussia GP, LLC

   Delaware  

NYLMDC-King of Prussia Realty, LP

   Delaware  

NYLife Real Estate Holdings LLC

   Delaware  

Huntsville NYL LLC

   Delaware  

CC Acquisitions, LP

   Delaware  

NYL Midwest Apartments LLC

   Delaware  

REEP-IND Fridley MN LLC

   Minnesota  

REEP-IND Green Oaks IL LLC

   Delaware  

REEP-IND Forest Park NJ LLC

   Delaware  

FP Building 4 LLC

   Delaware  

FP Building 1-2-3 LLC

   Delaware  

FP Mantua Grove LLC

   Delaware  

FP Building 20 LLC

   Delaware     Cancelled   

REEP-IND NJ LLC

   Delaware  

NJIND JV LLC

   Delaware     93

NJIND Hook Road LLC

   Delaware  

NJIND Old Post Road LLC

   Delaware  

NJIND Brunswick Avenue LLC

   Delaware  

NJIND Raritan Center LLC

   Delaware  

NJIND Talmadge Road LLC

   Delaware  

NJIND Bay Avenue LLC

   Delaware  

NJIND Melrich Road LLC

   Delaware  

NJIND Carter Drive LLC

   Delaware  

NJIND Corbin Street LLC

   Delaware  

REEP-IND Kent LLC

   Delaware  

REEP-MF Cumberland TN LLC

   Delaware  

Cumberland Apartments, LLC

   Tennessee  

REEP-MF Enclave TX LLC

   Delaware  

Enclave CAF LLC

   Delaware     50

REEP-MF Issaquah WA LLC

   Delaware  

REEP-MF Mira Loma II TX LLC

   Delaware  

Mira Loma II, LLC

   Delaware     50

REEP-MF Mount Vernon GA LLC

   Delaware  

REEP-MF Verde NC LLC

   Delaware  

REEP-MF Summitt Ridge CO LLC

   Delaware  

Summitt Ridge Apartments, LLC

   Delaware     50

REEP-MF Wallingford WA LLC

   Delaware  

REEP-MF Woodridge IL LLC

   Delaware  

REEP-OF Centerpointe VA LLC

   Delaware  

REEP-OFC 575 Lex NY LLC

   Delaware  

REEP-OFC 575 Lex NY GP LLC

   Delaware  

Maple REEP-OFC 575 Lex Holdings LP

   Delaware     50

REEP OFC Westory DC LLC

   Delaware  

REEP-RTL SASI GA LLC

   Delaware  

PTC Acquisitions, LLC

   Delaware  

Martingale Road LLC

   Delaware     71.4693

North Andrews Avenue LLC

   Delaware    
 
NYLIC 66.90%;
NYLIAC 33.10
  

New York Life Funding

   Cayman Islands10  

New York Life Global Funding

   Delaware10  

Government Energy Savings Trust 2003-A (GEST)

   New York11  

UFI-NOR Federal Receivables Trust, Series 2009B

   New York11  

NYLARC Holding Company Inc.

   Arizona10  

New York Life Agents Reinsurance Company

   Arizona10  

 

1  Control is by virtue of NYLIC and subsidiaries being general partners.
2  NYL Cayman Holdings Ltd. owns 88%.
3  NYL Worldwide Capital Investment LLC owns 0.002%.
4  NYLIC owns 18.64% and NYLIAC owns 0.00% for a total ownership of 18.64%.
5  NYLCAP Manager LLC owns 24.66% of the voting management shares. NYLCAP India Funding LLC owns 36% of non-voting carry shares.
6  NYLCAP Manager LLC owns 24.66% of the voting management shares. NYLCAP India Funding III LLC owns 31.36% of non-voting carry shares.
7  Private Advisors Hedged Equity Fund (QP), L.P. owns 51.10% and PA Hedged Equity Fund, L.P. owns 48.90% of the Master Fund.
8  The Hedged Strategies Fund, LP owns 71.97% and The Hedged Strategies Fund (QP), L.P. owns 28.03% of the Master Fund.
9  Control of each CLO/CDO and other entities is pursuant to an investment management contract with NYLIM or affiliate, not through ownership of voting interests.
10  Control is through a reliance relationship between NYLIC and this entity, not ownership of voting interests.
11  Control is through financial interest, not ownership of voting interests.

 

C-9


ITEM 29. INDEMNIFICATION

Article IX of the Amended and Restated By-Laws of New York Life Insurance and Annuity Corporation (“NYLIAC”) provides that NYLIAC shall indemnify and hold harmless (including the provision of a defense) certain persons to the fullest extent permitted by the Delaware General Corporation Law against all expenses, costs, judgments, penalties, fines, liability and loss (including attorneys’ fees, judgments, fines, ERISA excise taxes or penalties and amount paid in settlement) that any such person reasonably incurs or suffers if he/she is made party (or threatened to be made party) or is otherwise involved in a claim, action, suit, or proceeding, whether civil, criminal, administrative or investigative, by reason of the fact that he/she is (or was) a Director or officer of NYLIAC or was serving at NYLIAC’s request as a Director, officer, or trustee of another corporation or of a partnership, joint venture, trust or other enterprise, including service with respect to an employee benefit plan. Such persons also have the right to have NYLIAC pay the reasonable expenses (including reasonable attorneys’ fees) incurred in the defense of any proceedings in advance of their final disposition, subject to certain conditions. NYLIAC may also, to the extent authorized by its Board of Directors, grant rights to indemnification and to the advancement of expenses to any employee or agent of NYLIAC.

Please refer to Article IX of the Amended and Restated By-Laws of NYLIAC (Exhibit No. (f)(2)(b) hereto) for the full text of the indemnification provisions.

Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to Directors, officers and controlling persons of the Registrant pursuant to the provisions described above, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a Director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such Director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.

 

C-9


ITEM 30. PRINCIPAL UNDERWRITERS

(a) Other Activity. Investment companies (other than the Registrant) for which NYLIFE Distributors LLC is currently acting as underwriter: NYLIAC Corporate Sponsored Variable Universal Life Separate Account-I

NYLIAC MFA Separate Account-I

NYLIAC MFA Separate Account-II

NYLIAC Variable Annuity Separate Account-I

NYLIAC Variable Annuity Separate Account-II

NYLIAC Variable Annuity Separate Account-III

NYLIAC Variable Annuity Separate Account-IV

NYLIAC VLI Separate Account

MainStay Funds

MainStay VP Funds Trust (formerly, MainStay VP Series Fund)

Private Advisors Alternative Strategies Fund

Private Advisors Alternative Strategies Master Fund

(b) Management.

The principal business address of each director and officer of NYLIFE Distributors LLC is 169 Lackawanna Avenue, Parsippany, New Jersey 07054.

 

Names of Directors and Officers

  

Positions and Offices with Unerwriter

Drew E. Lawton

   Chairman and Chief Executive Officer

Stephen P. Fisher

   President and Chief Operating Officer

Robert J. Hebron

   Executive Vice President, AMN Executive Benefits and Retail Distribution

David J. Castellani

   Senior Managing Director, Retirement Plan Services

Barbara J. McInerney

   Senior Managing Director, Compliance

Christopher T. Ashe

   Senior Vice President and Chief Financial Officer

Daniel A. Andriola

   Managing Director and Controller

Karen Bain

   Managing Director, Tax

Robert M. Barrack

   Managing Director, GoldPoint Partners Institutional Sales

Todd Childress

   Managing Director, Private Advisors Institutional Sales

Mark Gomez

   Managing Director and General Counsel

Joseph J. Henehan

   Managing Director, Retirement Plan Services

Rebekah M. Mueller

   Managing Director, Retirement Plan Services

Mark S. Niziak

   Managing Director, Retirement Plan Services

John J. O’Gara

   Managing Director, Life Distribution, Retirement Income Security

Amanda Parness

   Managing Director, GoldPoint Partners Institutional Sales

Stephen Sexeny

   Managing Director, Cornerstone Capital Management Institutional Sales

Robin Wagner

   Managing Director and Chief Compliance Officer

Brian Wickwire

   Managing Director and Controller

Mary Ann Aull

   Director - Financial Operations and Treasurer

Christine M. Dempsey

   Director

David S. Hescheles

   Director, Independent Channel, Retirement Income Security

Linda M. Howard

   Director, Compliance and Anti-Money Laundering Officer

Paula Taylor

   Director, Retirement Plan Services

Karen Bain

   Vice President, Tax

Marta Hansen

   Vice President

Rafaela Herrera

   Vice President, Compliance

George Shively

   Secretary

Michael Hession

   Assistant Secretary

Anna Louise Bidwell

   Assistant Secretary

Mary Euler

   Assistant Secretary

 

10


(c) Compensation from the Registrant.

 

Name of

Principal

Underwriter

  

Net Underwriting

Discounts and

Commissions

   Compensation on
Events Occasioning the
Deduction of a Deferred
Sales Load
   Brokerage
Commissions
   Other Compensation
NYLIFE Distributors
LLC
   -0-    -0-    -0-    -0-

 

ITEM 31. LOCATION OF ACCOUNTS AND RECORDS.

All accounts and records required to be maintained by Section 31(a) of the 1940 Act and the rules under it are maintained by NYLIAC at its home office, 51 Madison Avenue, Room 0150, New York, New York 10010; New York Life — Records Division, 110 Cokesbury Road, Lebanon, New Jersey 08833 and with Iron Mountain Records Management, Inc. at both 8 Neptune Drive, Poughkeepsie, New York 12601 and Route 9W South, Port Ewen, New York 12466-0477.

 

ITEM 32. MANAGEMENT SERVICES.

Not applicable.

 

ITEM 33. FEE REPRESENTATION.

New York Life Insurance and Annuity Corporation (“NYLIAC”), the sponsoring insurance company of the NYLIAC Variable Universal Life Separate Account-I, hereby represents that the fees and charges deducted under the New York Life Lifetime Wealth Variable Universal Life Insurance Policy are reasonable in relation to the services rendered, the expenses expected to be incurred and the risks assumed by NYLIAC.

 

11


SIGNATURES

Pursuant to the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets the requirements of Securities Act Rule 485(a)(1) for effectiveness of this Registration Statement and has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City and State of New York on this 19th day of February, 2014.

 

NYLIAC VARIABLE UNIVERSAL LIFE SEPARATE ACCOUNT-I

(Registrant)

By:   /s/ Eric J. Lynn
  Eric J. Lynn
  Vice President and Actuary

NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION

(Depositor)

By:   /s/ Eric J. Lynn
  Eric J. Lynn
  Vice President and Actuary

Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated:

 

Christopher T. Ashe*

   Director

Christopher O. Blunt*

   Director

Frank M. Boccio*

   Director

John T. Fleurant*

   Director

Robert M. Gardner*

   Director

Steven D. Lash*

   Director

Drew E. Lawton*

   Director

Theodore A. Mathas*

   Chairman and President (Principal Executive Officer)

Angelo J. Scialabba*

   Vice President and Controller (Principal Accounting Officer)

Arthur H. Seter*

   Director

Michael E. Sproule*

   Director and Chief Financial Officer

Joel M. Steinberg*

   Director

Susan A. Thrope*

   Director

 

By:

 

/s/ Eric J. Lynn

  Eric J. Lynn
  Attorney-in-Fact
February 19, 2014

* Pursuant to Powers of Attorney previously filed.


EXHIBIT INDEX

 

Exhibit Number    Description
(k)    Opinion and Consent of Thomas F. English, Esq.