Senior Director

0001133639-16-000092.txt : 20161108 0001133639-16-000092.hdr.sgml : 20161108 20161108162014 ACCESSION NUMBER: 0001133639-16-000092 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161108 DATE AS OF CHANGE: 20161108 EFFECTIVENESS DATE: 20161108 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: 161981517 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 09-30-2016 09-30-2016 NEW YORK LIFE INVESTMENT MANAGEMENT LLC

51 MADISON AVE NEW YORK NY 10010

13F COMBINATION REPORT 028-06325 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. 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 0001329375 028-12384 CUSHING ASSET MANAGEMENT, LP 0001537014 028-16845 Candriam Luxembourg S.C.A. N Todd Minichino Senior Director 212-576-7915 Todd Minichino New York NY 11-08-2016 2 45 912303 false 2 0001606720 028-16259 NYL Investors LLC 3 0000071633 028-00065 NEW YORK LIFE INSURANCE CO INFORMATION TABLE 2 r13f093016_table.xml FORM 13F/HR AS OF 9/30/16 EXPRESS SCRIPTS HOLDING COMPANY COM 30219G108 68768 975024 SH SOLE 02 975024 0 0 FIRST TRUST MID CAP CORE ALP COM SHS 33735B108 362 6848 SH SOLE 0 0 6848 GOLDMAN ACTIVEBETA US LC ETF EQUITY ETF 381430503 1588 36446 SH SOLE 0 0 36446 GUGGENHEIM S&P SPIN-OFF ETF GUGG S&P SPINOFF 18383M605 1453 33877 SH SOLE 0 0 33877 HALCON RESOURCES CORP COM PAR NEW 40537Q605 2414 257329 SH SOLE 02 257329 0 0 IQ 50PCT HEDGED FTSE EUR ETF HDGD FTSE EURO 45409B552 24511 1373182 SH DFND 03 1373182 0 0 IQ 50PCT HEDGED FTSE INT ETF HDGD FTSE INTL 45409B560 105890 5808550 SH SOLE 5808550 0 0 IQ 50PCT HEDGED FTSE INT ETF HDGD FTSE INTL 45409B560 24554 1346890 SH DFND 03 1346890 0 0 IQ 50PCT HEDGED FTSE JPN ETF HDGD FTSE JAPN 45409B537 23055 1327287 SH DFND 03 1327287 0 0 IQ Enhanced Core Bond US ETF IQ ENCH BD US 45409B487 41418 2042332 SH SOLE 2042332 0 0 IQ Enhanced Core Bond US ETF IQ ENCH BD US 45409B487 9532 470000 SH DFND 03 470000 0 0 IQ ENHANCED CORE PLUS BOND U IQ ENCH COR PL 45409B479 186675 9173229 SH SOLE 9173229 0 0 IQ ENHANCED CORE PLUS BOND U IQ ENCH COR PL 45409B479 13838 680000 SH DFND 03 680000 0 0 IQ GLOBAL RESOURCES ETF IQ GLB RES ETF 45409B883 66370 2554644 SH SOLE 2554644 0 0 IQ HEDGE EVENT-DRIVEN TRACKE HDG EVE DRIV 45409B404 1632 80000 SH DFND 03 80000 0 0 IQ HEDGE LONG/SHORT TRACKER LNG SHT TRACK 45409B305 1551 80000 SH DFND 03 80000 0 0 IQ LEADERS GTAA TRACKER ETF IQ LEADERS GTA 45409B511 31010 1422810 SH DFND 03 1422810 0 0 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 4169 35785 SH SOLE 35785 0 0 ISHARES 10+ YEAR CREDIT BOND BND ETFUND 10+ YR CR BD ETF 464289511 24564 388300 SH SOLE 02 388300 0 0 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 144 664 SH SOLE 0 0 664 ISHARES IBOXX $ INVESTMENT GRADE CORP BD IBOXX INV CP ETF 464287242 30462 247300 SH SOLE 02 247300 0 0 ISHARES INTERMEDIATE CREDIT INTERM CR BD ETF 464288638 18917 169886 SH SOLE 02 169886 0 0 ISHARES INTERMEDIATE GOVERNM INTRM GOV/CR ETF 464288612 35610 315580 SH SOLE 315580 0 0 ISHARES MSCI ALL COUNTRY ASI MSCI AC ASIA ETF 464288182 11394 188275 SH SOLE 188275 0 0 ISHARES MSCI FRONTIER 100 MSCI FRNTR100ETF 464286145 1589 61894 SH SOLE 61894 0 0 ISHARES MSCI INDIA ETF MSCI INDIA ETF 46429B598 1746 59356 SH SOLE 59356 0 0 ISHARES MSCI PHILIPPINES MSCI PHILIPS ETF 46429B408 1359 36468 SH SOLE 36468 0 0 ISHARES MSCI POLAND CAPPED E MSCI POL CAP ETF 46429B606 753 41324 SH SOLE 41324 0 0 ISHARES RUSSELL 1000 VALUE RUS 1000 VAL ETF 464287598 7197 68143 SH SOLE 68143 0 0 ISHARES RUSSELL 2000 RUSSELL 2000 ETF 464287655 58820 473549 SH SOLE 467126 0 6423 ISHARES US FINANCIALS ETF U.S. FINLS ETF 464287788 1434 15929 SH SOLE 0 0 15929 SPDR BARCLAYS LONG TERM CORPORATE LNG TRM CORP BD 78464A367 6163 143700 SH SOLE 02 143700 0 0 SPDR S&P 500 ETF TRUST TR UNIT 78462F103 871 4028 SH SOLE 0 0 4028 SPDR S&P EMERGING MKTS SMALL S&P EMKTSC ETF 78463X756 7158 165844 SH SOLE 165844 0 0 THE INTERPUBLIC GROUP OF COMPANIES COM 460690100 170 7584 SH SOLE 02 7584 0 0 VANECK VECTORS AFRICA INDEX AFRICA INDEX ETF 92189F866 918 44278 SH SOLE 44278 0 0 VANECK VECTORS EMERGING MARK JP MORGAN MKTS 92189F494 8210 430303 SH SOLE 430303 0 0 VANECK VECTORS INDIA S/C INDIA SMALL CAP 92189F767 1347 28997 SH SOLE 28997 0 0 VANGUARD INFO TECH ETF INF TECH ETF 92204A702 1742 14472 SH SOLE 0 0 14472 VANGUARD INTERMEDIATE TERM CORPORA INT-TERM CORP 92206C870 12147 135600 SH SOLE 02 135600 0 0 VANGUARD LONG TERM BOND INDEX FUND LONG TERM BOND 921937793 12295 124700 SH SOLE 02 124700 0 0 VANGUARD LONG TERM CORPORATE BOND LG-TERM COR BD 92206C813 37017 386800 SH SOLE 02 386800 0 0 VANGUARD MID-CAP VALUE ETF MCAP VL IDXVIP 922908512 10766 115063 SH SOLE 115063 0 0 VANGUARD S/T INFL PROT SEC INDEX FUND STRM INFPROIDX 922020805 9712 195614 SH SOLE 195614 0 0 VANGUARD TELECOM SERVICE ETF TELCOMM ETF 92204A884 1008 10674 SH SOLE 0 0 10674