1 |
NAME OF REPORTING PERSON:
New York Life Investment Management LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
52-2206685
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
[ ] (a)
[ ] (b)
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3 |
SEC USE ONLY
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4 |
SOURCE OF FUNDS:
WC
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
2,500
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8 |
SHARED VOTING POWER
0
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9 |
SOLE DISPOSITIVE POWER
2,500
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10 |
SHARED DISPOSITIVE POWER
0
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
100%
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14 |
TYPE OF REPORTING PERSON
IA
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ITEM 1. | SECURITY AND ISSUER: |
This statement on Schedule 13D (the Schedule 13D) relates to Class A1 common shares (Class A1 Shares) of MainStay MacKay Municipal Income Opportunities Fund (the Issuer or Fund), a Delaware statutory trust registered under the Investment Company Act of 1940, as amended (the Investment Company Act), as a non-diversified, closed-end management investment company. The principal executive office of the Fund is located at 51 Madison Ave, New York, NY 10010 | |
ITEM 2. | IDENTITY AND BACKGROUND: |
(a) New York Life Investment Management LLC (NYLIM) (b) 51 Madison Ave, New York, NY 10010 (c) NYLIM is a registered investment adviser and serves as investment adviser to the Issuer. (d) None (e) None (f) NYLIM is organized in the State of Delaware NYLIMs sole member and sole interest holder is New York Life Investment Management Holdings LLC, a Delaware limited liability company whose business address is 51 Madison Ave, New York, NY 10010. New York Life Investment Management Holdings LLC has not, during the last five years, been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors); or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. The directors and executive officers of NYLIM and New York Life Investment Management Holdings LLC are listed in Exhibit A. |
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ITEM 3. | SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: |
On March 25, 2024, in order to launch the Funds Class A1 Shares, NYLIM provided a seed investment in the Fund by acquiring 2,500 Class A1 Shares for $10.00 per share (the Seed Investment). The funds used to purchase the shares of Issuers Class A1 Shares in the above transaction were from existing available operating capital of NYLIM, and none of the consideration for such shares was represented by borrowed funds. | |
ITEM 4. | PURPOSE OF TRANSACTION: |
The reported securities were acquired solely to seed and support the Fund. | |
ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER: |
(a) The aggregate number and percentage of the class of securities identified pursuant to Item 1 beneficially owned by the Reporting Person is stated in Items 11 and 13 on the cover page hereto. (b) The information set forth in Items 7 through 11 of the cover page hereto is incorporated herein by reference. (c) Except as disclosed in this Schedule 13D, the Reporting Person has not effected any transactions in Class A1 Shares of the Issuer during the past 60 days. (d) Not Applicable (e) Not Applicable |
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ITEM 6. | CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER: |
The relationship between NYLIM and New York Life Investment Management Holdings LLC is described in response to Item 2. | |
ITEM 7. | MATERIALS TO BE FILES AS EXHIBITS: |
Exhibit A: NYLIM and New York Life Investment Management Holdings LLC Executive Officers and Directors |
April 08 2024 |
New York Life Investment Management LLC
By:
/s/ Kirk Lehneis
Name:
Kirk Lehneis
Title:
Chief Operating Officer
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