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 0 500 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 193752 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 SH SOLE 10697 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 OTR 01 0 2500 0 FAMILY DOLLAR STORES COM 307000109 186 3200 SH OTR 01 0 3200 0 FINANCIAL SELECT SECTOR SPDR SBI INT-FINL 81369Y605 6134 274556 SH SOLE 173211 0 101345 FIRST TRUST NASDAQ GLOBAL AU AUTO INDEX FD 33734X309 9406 228291 SH SOLE 80327 0 147964 FIRST TRUST US IPO INDEX FUN SHS 336920103 2795 60916 SH SOLE 0 0 60916 FOSSIL GROUP INC COM 34988V106 256 2200 SH OTR 01 0 2200 0 GENERAL MILLS INC COM 370334104 228 4400 SH OTR 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 18383Q853 5210 204805 SH SOLE 204805 0 0 GUGGENHEIM ENHANCED SHORT DU GUGG ENH SHT DUR 18383M654 9180 182646 SH SOLE 182646 0 0 GUGGENHEIM SPIN-OFF ETF GUGG SPINOFF ETF 18383M605 16095 354822 SH SOLE 230838 0 123984 HEALTH CARE SELECT SECTOR SBI HEALTHCARE 81369Y209 1161 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 0 INDUSTRIAL SELECT SECT SPDR 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 ISHARES 20+ YEAR TREASURY BOND ETF 20+ YR TR BD ETF 464287432 9944 91150 SH SOLE 91150 0 0 ISHARES 7-10 YEAR TREASURY BOND ETF 7-10 Y TR BD ETF 464287440 12957 127371 SH SOLE 127371 0 0 ISHARES CORE TOTAL US BOND MARKET ETF CORE TOTUSBD ETF 464287226 25956 240533 SH SOLE 240533 0 0 ISHARES IBOXX $ INVESTMENT GRADE CORP BD IBOXX INV CP ETF 464287242 3269 27955 SH SOLE 27955 0 0 ISHARES MSCI CHINA ETF CHINA ETF 46429B671 1734 38549 SH SOLE 38549 0 0 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 9109 135550 SH SOLE 135550 0 0 ISHARES MSCI FRONTIER 100 MSCI FRNTR100ETF 464286145 1723 47534 SH SOLE 47534 0 0 ISHARES MSCI PHILIPPINES MSCI PHILIPS ETF 46429B408 414 12156 SH SOLE 12156 0 0 ISHARES MSCI POLAND CAPPED E MSCI POL CAP ETF 46429B606 3465 115299 SH SOLE 115299 0 0 ISHARES MSCI SPAIN CAPPED ET MSCI SPAN CP ETF 464286764 3485 85410 SH SOLE 85410 0 0 ISHARES NORTH AMERICAN TECH- NA TEC-SFTWR ETF 464287515 639 7677 SH SOLE 7677 0 0 ISHARES RUSSELL 1000 ETF RUS 1000 ETF 464287622 6447 61536 SH SOLE 61536 0 0 ISHARES RUSSELL 2000 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 496078 0 611871 ISHARES USTECHNOLOGY ETF 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 0 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 0 MARKET VECTORS AFRICA INDEX AFRICA ETF 57060U787 1149 36937 SH SOLE 36937 0 0 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 0 MERCK & CO. INC. COM 58933Y105 57 1000 SH OTR 01 0 1000 0 MICROCHIP TECHNOLOGY INC COM 595017104 258 5400 SH OTR 01 0 5400 0 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 0 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 0 NRG ENERGY INC COM NEW 629377508 70 2200 SH OTR 01 0 2200 0 NVIDIA CORP COM 67066G104 52 2900 SH OTR 01 0 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 0 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 PIMCO ENHANCED SHORT MATURIT ENHAN SHRT MAT 72201R833 29105 287114 SH SOLE 287114 0 0 PINNACLE WEST CAPITAL COM 723484101 131 2400 SH OTR 01 0 2400 0 POWERSHARES KBW BANK KBW BK PORT 73937B746 8370 225420 SH SOLE 225420 0 0 POWERSHARES S&P 500 BUYWRITE S&P 500 BUYWRT 73936G308 8170 387396 SH SOLE 387396 0 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 PROSHARES ULTRASHORT EURO ULTRASHRT EURO 74347W882 11145 658321 SH SOLE 658321 0 0 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 6497 157233 SH SOLE 157233 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 VANGUARD TOTAL BOND MARKET INDEX F TOTAL BND MRKT 921937835 25931 319383 SH SOLE 319383 0 0 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