0001133639-14-000014.txt : 20140515
0001133639-14-000014.hdr.sgml : 20140515
20140515144836
ACCESSION NUMBER: 0001133639-14-000014
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140515
DATE AS OF CHANGE: 20140515
EFFECTIVENESS DATE: 20140515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CENTRAL INDEX KEY: 0001133639
IRS NUMBER: 522206685
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06325
FILM NUMBER: 14846315
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 2125767000
MAIL ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001133639
XXXXXXXX
03-31-2014
03-31-2014
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
51 MADISON AVE
NEW YORK
NY
10010
13F COMBINATION REPORT
028-06325
0000354204
028-01186
DIMENSIONAL FUND ADVISORS LP
0001128251
028-05977
DUPONT CAPITAL MANAGEMENT Corp
0000790502
028-01666
EAGLE ASSET MANAGEMENT INC
0001305841
028-10968
Epoch Investment Partners, Inc.
0000050672
028-00016
INSTITUTIONAL CAPITAL LLC
0000812295
028-01343
JANUS CAPITAL MANAGEMENT LLC
0001453415
028-13283
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC.
0001561089
028-15275
Marketfield Asset Management LLC
0001089991
028-04869
MARKSTON INTERNATIONAL LLC
0000061227
028-00046
MACKAY SHIELDS LLC
0000912938
028-04968
MASSACHUSETTS FINANCIAL SERVICES CO /MA/
0001163368
028-10952
PACIFIC INVESTMENT MANAGEMENT CO LLC
0000080255
028-00115
PRICE T ROWE ASSOCIATES INC /MD/
0000869178
028-02783
VAN ECK ASSOCIATES CORP
0000900973
028-03676
Winslow Capital Management, LLC
0001123570
028-05923
CORNERSTONE CAPITAL MANAGEMENT LLC
N
Todd Minichino
Senior Director
973-394-3632
Todd Minichino
Parsippany
NJ
05-15-2014
1
167
473512
false
1
0001453415
028-13283
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC.
INFORMATION TABLE
2
EdgarForm13F-InfoTable.xml
FORM 13F-HR 03/31/2014
AIRGAS INC
COM
009363102
53
500
SH
OTR
01
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500
0
ALPS EQ HIGH VOLATILITY PU
US EQTHIVOLPT WR
00162Q734
8577
340899
SH
SOLE
340899
0
0
ALTRIA GROUP INC
COM
02209S103
7
200
SH
OTR
01
0
200
0
AMERICAN TOWER CORPORATION
COM
03027X100
15862
193752
SH
SOLE
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0
0
AMERISOURCEBERGEN CORP
COM
03073E105
230
3500
SH
OTR
01
0
3500
0
APARTMENT INVT & MGMT CO -A
CL A
03748R101
218
7200
SH
OTR
01
0
7200
0
AUTOMATIC DATA PROCESSING
COM
053015103
240
3100
SH
OTR
01
0
3100
0
BARD (C.R.) INC
COM
067383109
252
1700
SH
OTR
01
0
1700
0
BAXTER INTERNATIONAL INC
COM
071813109
331
4500
SH
OTR
01
0
4500
0
BECTON DICKINSON & CO
COM
075887109
246
2100
SH
OTR
01
0
2100
0
BEMIS COMPANY
COM
081437105
239
6100
SH
OTR
01
0
6100
0
CA INC
COM
12673P105
214
6900
SH
OTR
01
0
6900
0
CAMPBELL SOUP CO
COM
134429109
166
3700
SH
OTR
01
0
3700
0
CARDINAL HEALTH INC
COM
14149Y108
245
3500
SH
OTR
01
0
3500
0
CAREFUSION CORP
COM
14170T101
4
100
SH
OTR
01
0
100
0
CHEVRON CORP
COM
166764100
178
1500
SH
OTR
01
0
1500
0
CHUBB CORP
COM
171232101
223
2500
SH
OTR
01
0
2500
0
CIGNA CORP
COM
125509109
343
4100
SH
OTR
01
0
4100
0
CISCO SYSTEMS INC
COM
17275R102
327
14600
SH
OTR
01
0
14600
0
CLOROX COMPANY
COM
189054109
326
3700
SH
OTR
01
0
3700
0
CME GROUP INC
COM
12572Q105
326
4400
SH
OTR
01
0
4400
0
COLGATE-PALMOLIVE CO
COM
194162103
240
3700
SH
OTR
01
0
3700
0
CONAGRA FOODS INC
COM
205887102
223
7200
SH
OTR
01
0
7200
0
CONSOLIDATED EDISON INC
COM
209115104
204
3800
SH
OTR
01
0
3800
0
CONSUMER DISCRETIONARY SELT
SBI CONS DISCR
81369Y407
1097
16947
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SOLE
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0
6250
COSTCO WHOLESALE CORP
COM
22160K105
145
1300
SH
OTR
01
0
1300
0
CROWN CASTLE INTL CORP
COM
228227104
214
2900
SH
OTR
01
0
2900
0
DENBURY RESOURCES INC
COM NEW
247916208
321
19600
SH
OTR
01
0
19600
0
DENTSPLY INTERNATIONAL INC
COM
249030107
78
1700
SH
OTR
01
0
1700
0
DIREXION DLY 20+Y TR BEAR 3X
20YR TRES BEAR
25459Y678
2450
43057
SH
SOLE
43057
0
0
DOLLAR GENERAL CORP
COM
256677105
216
3900
SH
OTR
01
0
3900
0
DOLLAR TREE INC
COM
256746108
63
1200
SH
OTR
01
0
1200
0
DOMINION RESOURCES INC/VA
COM
25746U109
241
3400
SH
OTR
01
0
3400
0
DR PEPPER SNAPPLE GROUP INC
COM
26138E109
120
2200
SH
OTR
01
0
2200
0
DTE ENERGY COMPANY
COM
233331107
230
3100
SH
OTR
01
0
3100
0
DUN & BRADSTREET CORP
COM
26483E100
30
300
SH
OTR
01
0
300
0
DYNEGY INC
COM
26817R108
20436
819416
SH
SOLE
819416
0
0
EDISON INTERNATIONAL
COM
281020107
11
200
SH
OTR
01
0
200
0
ELI LILLY & CO
COM
532457108
241
4100
SH
OTR
01
0
4100
0
EMC CORP/MASS
COM
268648102
326
11900
SH
OTR
01
0
11900
0
ENERGY SELECT SECTOR SPDR
SBI INT-ENERGY
81369Y506
3534
39682
SH
SOLE
24827
0
14855
ENTERGY CORP
COM
29364G103
308
4600
SH
OTR
01
0
4600
0
EXELON CORP
COM
30161N101
97
2900
SH
OTR
01
0
2900
0
EXPEDITORS INTL WASH INC
COM
302130109
139
3500
SH
OTR
01
0
3500
0
EXPRESS SCRIPTS HOLDING CO
COM
30219G108
98
1300
SH
OTR
01
0
1300
0
EXXON MOBIL CORP
COM
30231G102
244
2500
SH
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01
0
2500
0
FAMILY DOLLAR STORES
COM
307000109
186
3200
SH
OTR
01
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3200
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SBI INT-FINL
81369Y605
6134
274556
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101345
FIRST TRUST NASDAQ GLOBAL AU
AUTO INDEX FD
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FIRST TRUST US IPO INDEX FUN
SHS
336920103
2795
60916
SH
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0
0
60916
FOSSIL GROUP INC
COM
34988V106
256
2200
SH
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01
0
2200
0
GENERAL MILLS INC
COM
370334104
228
4400
SH
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01
0
4400
0
GLOBAL X GURU INDEX ETF
GLB X GURU INDEX
37950E341
15046
609408
SH
SOLE
381307
0
228101
GUGGENHEIM CHINA SMALL CAP E
GUGG CHN SML CAP
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5210
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GUGG ENH SHT DUR
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GUGGENHEIM SPIN-OFF ETF
GUGG SPINOFF ETF
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354822
SH
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123984
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SBI HEALTHCARE
81369Y209
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19851
SH
SOLE
12473
0
7378
HERSHEY CO/THE
COM
427866108
240
2300
SH
OTR
01
0
2300
0
HORMEL FOODS CORP
COM
440452100
261
5300
SH
OTR
01
0
5300
0
HUDSON CITY BANCORP INC
COM
443683107
327
33300
SH
OTR
01
0
33300
0
HUMANA INC
COM
444859102
327
2900
SH
OTR
01
0
2900
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SBI INT-INDS
81369Y704
3717
71033
SH
SOLE
44613
0
26420
INTERCONTINENTALEXCHANGE GROUP
COM
45866F104
218
1100
SH
OTR
01
0
1100
0
INTUIT INC
COM
461202103
93
1200
SH
OTR
01
0
1200
0
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20+ YR TR BD ETF
464287432
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91150
SH
SOLE
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7-10 Y TR BD ETF
464287440
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127371
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CORE TOTUSBD ETF
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240533
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SOLE
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IBOXX INV CP ETF
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SH
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ISHARES MSCI CHINA ETF
CHINA ETF
46429B671
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MSCI EAFE ETF
464287465
9109
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SH
SOLE
135550
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ISHARES MSCI FRONTIER 100
MSCI FRNTR100ETF
464286145
1723
47534
SH
SOLE
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ISHARES MSCI PHILIPPINES
MSCI PHILIPS ETF
46429B408
414
12156
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SOLE
12156
0
0
ISHARES MSCI POLAND CAPPED E
MSCI POL CAP ETF
46429B606
3465
115299
SH
SOLE
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ISHARES MSCI SPAIN CAPPED ET
MSCI SPAN CP ETF
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3485
85410
SH
SOLE
85410
0
0
ISHARES NORTH AMERICAN TECH-
NA TEC-SFTWR ETF
464287515
639
7677
SH
SOLE
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0
0
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RUS 1000 ETF
464287622
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61536
SH
SOLE
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RUSSELL 2000 ETF
464287655
5596
48103
SH
SOLE
0
0
48103
ISHARES RUSSELL 3000 ETF
RUSSELL 3000 ETF
464287689
6439
57335
SH
SOLE
57335
0
0
ISHARES RUSSELL MIDCAP INDEX
RUS MID-CAP ETF
464287499
6338
40954
SH
SOLE
22603
0
18351
ISHARES U.S. AEROSPACE & DEF
U.S. AER&DEF ETF
464288760
1859
17031
SH
SOLE
10717
0
6314
ISHARES US HOME CONSTRUCTION
US HOME CONS ETF
464288752
26835
1107949
SH
SOLE
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0
611871
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U.S. TECH ETF
464287721
6868
75419
SH
SOLE
47484
0
27935
JM SMUCKER CO/THE-NEW COMMON
COM NEW
832696405
194
2000
SH
OTR
01
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2000
0
JOHNSON & JOHNSON
COM
478160104
246
2500
SH
OTR
01
0
2500
0
KELLOGG CO
COM
487836108
332
5300
SH
OTR
01
0
5300
0
KOHLS CORP
COM
500255104
125
2200
SH
OTR
01
0
2200
0
LABORATORY CRP OF AMER HLDGS
COM NEW
50540R409
226
2300
SH
OTR
01
0
2300
0
LINEAR TECHNOLOGY CORP
COM
535678106
88
1800
SH
OTR
01
0
1800
0
M & T BANK CORP
COM
55261F104
328
2700
SH
OTR
01
0
2700
0
MACY'S INC
COM
55616P104
255
4300
SH
OTR
01
0
4300
0
MARATHON OIL CORP
COM
565849106
330
9300
SH
OTR
01
0
9300
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MARKET VECTORS AFRICA INDEX
AFRICA ETF
57060U787
1149
36937
SH
SOLE
36937
0
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MARKET VECTORS VIETNAM ETF
VIETNAM ETF
57060U761
3517
162137
SH
SOLE
162137
0
0
MARSH & MCLENNAN COS
COM
571748102
247
5000
SH
OTR
01
0
5000
0
MCCORMICK & CO-NON VTG SHRS
COM NON VTG
579780206
330
4600
SH
OTR
01
0
4600
0
MCDONALD'S CORP
COM
580135101
245
2500
SH
OTR
01
0
2500
0
MCKESSON CORP
COM
58155Q103
247
1400
SH
OTR
01
0
1400
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MERCK & CO. INC.
COM
58933Y105
57
1000
SH
OTR
01
0
1000
0
MICROCHIP TECHNOLOGY INC
COM
595017104
258
5400
SH
OTR
01
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5400
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MOTOROLA SOLUTIONS INC
COM NEW
620076307
13
200
SH
OTR
01
0
200
0
NETAPP INC
COM
64110D104
210
5700
SH
OTR
01
0
5700
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NEWS CORP-NEW CL A
CL A
65249B109
9
500
SH
OTR
01
0
500
0
NORDSTROM INC
COM
655664100
231
3700
SH
OTR
01
0
3700
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NRG ENERGY INC
COM NEW
629377508
70
2200
SH
OTR
01
0
2200
0
NVIDIA CORP
COM
67066G104
52
2900
SH
OTR
01
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2900
0
OCCIDENTAL PETROLEUM CORP
COM
674599105
29
300
SH
OTR
01
0
300
0
O'REILLY AUTOMOTIVE INC
COM
67103H107
208
1400
SH
OTR
01
0
1400
0
PATTERSON COS INC
COM
703395103
255
6100
SH
OTR
01
0
6100
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PAYCHEX INC
COM
704326107
239
5600
SH
OTR
01
0
5600
0
PEOPLE'S UNITED FINANCIAL
COM
712704105
332
22300
SH
OTR
01
0
22300
0
PEPCO HOLDINGS INC
COM
713291102
31
1500
SH
OTR
01
0
1500
0
PERRIGO CO PLC
SHS
G97822103
232
1500
SH
OTR
01
0
1500
0
PHILIP MORRIS INTERNATIONAL
COM
718172109
90
1100
SH
OTR
01
0
1100
0
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ENHAN SHRT MAT
72201R833
29105
287114
SH
SOLE
287114
0
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PINNACLE WEST CAPITAL
COM
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131
2400
SH
OTR
01
0
2400
0
POWERSHARES KBW BANK
KBW BK PORT
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SOLE
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POWERSHARES S&P 500 BUYWRITE
S&P 500 BUYWRT
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SOLE
387396
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0
POWERSHARES S&P SC INFO TECH
S&P SMCP IT PO
73937B860
6278
138397
SH
SOLE
76893
0
61504
PRAXAIR INC
COM
74005P104
210
1600
SH
OTR
01
0
1600
0
PROCTER & GAMBLE CO
COM
742718109
24
300
SH
OTR
01
0
300
0
PROGRESSIVE CORP
COM
743315103
46
1900
SH
OTR
01
0
1900
0
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ULTRASHRT EURO
74347W882
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SOLE
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PROSHARES ULTRASHORT YEN
ULTRASHORT YEN N
74347W569
3500
51764
SH
SOLE
51764
0
0
PUBLIC SERVICE ENTERPRISE GP
COM
744573106
210
5500
SH
OTR
01
0
5500
0
QUALCOMM INC
COM
747525103
134
1700
SH
OTR
01
0
1700
0
QUEST DIAGNOSTICS
COM
74834L100
324
5600
SH
OTR
01
0
5600
0
REYNOLDS AMERICAN INC
COM
761713106
198
3700
SH
OTR
01
0
3700
0
SCANA CORP
COM
80589M102
216
4200
SH
OTR
01
0
4200
0
SIGMA-ALDRICH
COM
826552101
327
3500
SH
OTR
01
0
3500
0
SIMON PROPERTY GROUP INC
COM
828806109
49
300
SH
OTR
01
0
300
0
SOUTHERN CO
COM
842587107
330
7500
SH
OTR
01
0
7500
0
SOUTHWESTERN ENERGY CO
COM
845467109
267
5800
SH
OTR
01
0
5800
0
SPDR BARCLAYS HIGH YIELD BOND ETF
BRC HGH YLD BD
78464A417
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157233
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SOLE
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0
0
SPDR KBW REGIONAL BANKING ET
S&P REGL BKG
78464A698
18389
444395
SH
SOLE
169244
0
275151
SPDR S&P HOMEBUILDERS ETF
S&P HOMEBUILD
78464A888
3316
101887
SH
SOLE
101887
0
0
SPDR S&P SOFTWARE & SER ETF
COMP SOFTWARE
78464A599
2785
31608
SH
SOLE
17453
0
14155
SPECTRA ENERGY CORP
COM
847560109
236
6400
SH
OTR
01
0
6400
0
STERICYCLE INC
COM
858912108
227
2000
SH
OTR
01
0
2000
0
STRYKER CORP
COM
863667101
130
1600
SH
OTR
01
0
1600
0
SYSCO CORP
COM
871829107
282
7800
SH
OTR
01
0
7800
0
TARGET CORP
COM
87612E106
218
3600
SH
OTR
01
0
3600
0
TECO ENERGY INC
COM
872375100
202
11800
SH
OTR
01
0
11800
0
THE INTERPUBLIC GROUP OF COMPANIES
COM
460690100
130
7584
SH
SOLE
7584
0
0
TORCHMARK CORP
COM
891027104
181
2300
SH
OTR
01
0
2300
0
TRAVELERS COS INC/THE
COM
89417E109
111
1300
SH
OTR
01
0
1300
0
TYSON FOODS INC-CL A
CL A
902494103
66
1500
SH
OTR
01
0
1500
0
UNION PACIFIC CORP
COM
907818108
188
1000
SH
OTR
01
0
1000
0
UNITEDHEALTH GROUP INC
COM
91324P102
271
3300
SH
OTR
01
0
3300
0
US BANCORP
COM NEW
902973304
189
4400
SH
OTR
01
0
4400
0
VANGUARD FTSE DEVELOPED MARKETS ETF
FTSE DEV MKT ETF
921943858
3864
93617
SH
SOLE
93617
0
0
VANGUARD INFO TECH ETF
INF TECH ETF
92204A702
17110
186937
SH
SOLE
114250
0
72687
VANGUARD REIT INDEX FUND ETF
REIT ETF
922908553
6483
91800
SH
SOLE
91800
0
0
VANGUARD TELECOM SERVICE ETF
TELCOMM ETF
92204A884
2704
31770
SH
SOLE
19931
0
11839
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VANGUARD TOTAL STOCK MARKET INDEX
TOTAL STK MKT
922908769
12886
132206
SH
SOLE
132206
0
0
VARIAN MEDICAL SYSTEMS INC
COM
92220P105
126
1500
SH
OTR
01
0
1500
0
VELOCITYSHARES INV VIX SH-TM
INVRS VIX STERM
22542D795
708
22406
SH
SOLE
22406
0
0
VERISIGN INC
COM
92343E102
210
3900
SH
OTR
01
0
3900
0
VERIZON COMMUNICATIONS INC
COM
92343V104
200
4200
SH
OTR
01
0
4200
0
VF CORP
COM
918204108
248
4000
SH
OTR
01
0
4000
0
WAL-MART STORES INC
COM
931142103
290
3800
SH
OTR
01
0
3800
0
WELLPOINT INC
COM
94973V107
100
1000
SH
OTR
01
0
1000
0
WINDSTREAM CORP
COM
97382A101
240
29100
SH
OTR
01
0
29100
0
WISDOMTREE EUR S/C DIVIDEND
EUROPE SMCP DV
97717W869
3491
55829
SH
SOLE
55829
0
0
WISDOMTREE EUROPE HEDGED EQU
EUROPE HEDGED EQ
97717X701
6978
123401
SH
SOLE
123401
0
0
WISDOMTREE JAPAN HEDGED EQ
JAPN HEDGE EQT
97717W851
15294
323063
SH
SOLE
323063
0
0
XCEL ENERGY INC
COM
98389B100
152
5000
SH
OTR
01
0
5000
0