0001752724-21-145812.txt : 20210713
0001752724-21-145812.hdr.sgml : 20210713
20210713164046
ACCESSION NUMBER: 0001752724-21-145812
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210430
FILED AS OF DATE: 20210713
DATE AS OF CHANGE: 20210713
EFFECTIVENESS DATE: 20210713
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MAINSTAY FUNDS TRUST
CENTRAL INDEX KEY: 0001469192
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22321
FILM NUMBER: 211088318
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212 576 7000
MAIL ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
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Class A
MSTAX
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Class I
MSTIX
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Class A2
MSTUX
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Class R6
MTFHX
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Investor Class
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Class A
MTFDX
C000212406
Class I
MTFGX
C000212407
Class C
MTFFX
0001469192
S000067318
MainStay CBRE Global Infrastructure Fund
C000216482
Class C
VCRCX
C000216483
Class I
VCRIX
C000216484
Class R6
VCRQX
C000216485
Investor Class
VCRVX
C000216486
Class A
VCRAX
0001469192
S000067319
MainStay CBRE Real Estate Fund
C000216487
Class C
CRCRX
C000216488
Investor Class
CRVRX
C000216489
Class I
CRARX
C000216490
Class R3
CRWRX
C000216491
Class R6
VREQX
C000216492
Class A
CLARX
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S000068835
MainStay Conservative ETF Allocation Fund
C000219985
Class R3
MNERX
C000219986
Class C
MNEKX
C000219987
Class I
MNELX
C000219988
Class A
MNEAX
C000221684
SIMPLE Class
MNEVX
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S000068836
MainStay Defensive ETF Allocation Fund
C000219991
Class R3
MDNRX
C000219992
Class I
MDNIX
C000219993
Class C
MDNCX
C000219994
Class A
MDNAX
C000221685
SIMPLE Class
MDNVX
0001469192
S000068837
MainStay Equity ETF Allocation Fund
C000219997
Class R3
MWFQX
C000219998
Class A
MWFAX
C000219999
Class C
MWFCX
C000220000
Class I
MWFIX
C000221686
SIMPLE Class
MWFVX
0001469192
S000068838
MainStay Moderate ETF Allocation Fund
C000220001
Class C
MDAKX
C000220002
Class I
MDAIX
C000220003
Class R3
MDARX
C000220005
Class A
MDAAX
C000221687
SIMPLE Class
MDAVX
0001469192
S000068839
MainStay Growth ETF Allocation Fund
C000220007
Class A
MOEAX
C000220008
Class C
MOECX
C000220010
Class I
MOEIX
C000220011
Class R3
MOERX
C000221688
SIMPLE Class
MOEVX
N-CEN
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51 MADISON AVENUE
NEW YORK
10010
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JPMorgan Chase Bank, N.A.
4 Chase Metrotech Center
New York
11245
718-242-0609
Records relating to its functions as custodian, sub-administrator and accounting agent
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Custody and Accounting Records.
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Richard H. Nolan, Jr.
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Yie-Hsin Hung
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Mischler Financial Group, Inc.
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Citigroup Global Markets Inc.
8-08177
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Stifel, Nicolaus & Company, Incorporated
8-01447
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Mischler Financial Group, Inc.
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Wells Fargo Securities, LLC
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Citadel Securities LLC
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Jane Street Capital, LLC
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Citigroup Global Markets Inc.
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MainStay CBRE Real Estate Fund
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JPMorgan Chase Bank NA
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State Street Bank and Trust Company
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Revenue sharing split
Cash collateral reinvestment fee
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436.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
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New York Life Investment Management LLC
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DST Asset Manager Solutions, Inc.
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NYLIM Service Company LLC
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Standard & Poor's Financial Services LLC
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Refinitiv US Holdings Inc.
549300NF240HXJO7N016
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IHS Markit Ltd.
549300HLPTRASHS0E726
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ICE Data Services, Inc.
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Bloomberg L.P.
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PricingDirect Inc.
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JPMorgan Chase Bank, N.A.
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SEC File Number
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NYLIM Service Company LLC
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JPMorgan Chase Bank, N.A.
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New York Life Investment Management LLC
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Citigroup Global Markets Inc.
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Evercore Group L.L.C.
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MKM Partners LLC
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UBS Securities LLC
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KeyBanc Capital Markets Inc.
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State Street Bank and Trust Company
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Morgan Stanley & Co. LLC
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Bofa Securities, Inc.
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Wells Fargo Securities, LLC
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J.P. Morgan Securities LLC
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Uncommitted
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MainStay MacKay Intermediate Tax Free Bond Fund
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Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
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PricingDirect Inc.
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IHS Markit Ltd.
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Standard & Poor's Financial Services LLC
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ICE Data Services, Inc.
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Tax ID
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Bloomberg L.P.
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Refinitiv US Holdings Inc.
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State Street Bank and Trust Company
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear
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DST Asset Manager Solutions, Inc.
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SEC File Number
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JPMorgan Chase Bank, N.A.
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State Street Bank and Trust Company
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Goldman Sachs & Co. LLC
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MainStay Equity ETF Allocation Fund
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Revenue sharing split
Cash collateral reinvestment fee
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New York Life Investment Management LLC
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DST Asset Manager Solutions, Inc.
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JPMorgan Chase Bank, N.A.
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084-05844
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MainStay Growth ETF Allocation Fund
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Revenue sharing split
Cash collateral reinvestment fee
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New York Life Investment Management LLC
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NYLIM Service Company LLC
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DST Asset Manager Solutions, Inc.
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ICE Data Pricing & Reference Data, LLC
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JPMorgan Chase Bank, N.A.
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
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DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
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SEC File Number
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N
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JPMorgan Chase Bank, N.A.
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UBS Securities LLC
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Stifel, Nicolaus & Company, Incorporated
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Virtu Financial BD LLC
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Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
168622.25000000
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
602677.43999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
14893.46000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
81333.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
4425527.70000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
1237016.89999999
Virtu Financial BD LLC
N/A
N/A
54930088MP91YZQJT494
1443064.30000000
7973135.04999999
Y
16625408.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay MacKay Short Term Municipal Fund
S000028538
549300ZY6MAJ3210UG92
N
6
2
0
N/A
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
N
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
550.00000000
550.00000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
72582732.85000000
D.A. Davidson & Co.
8-02399
000000199
549300094RQ5A7DYLF51
72001573.34999999
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
178119372.39999998
Piper Sandler & Co.
8-15204
000000665
549300GRQCWQ3XGH0H10
35216510.54999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
341705366.95000017
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
77551534.00000001
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
85913327.90000000
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
95604769.85000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
322484632.39999998
ROBERT W. BAIRD & CO. INCORPORATED
8-00497
000008158
549300772UJAHRD6LO53
72615359.44999998
1721193760.88000010
N
1477586853.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay Defensive ETF Allocation Fund
S000068836
549300BQF44GCXX70268
Y
7
7
0
Fund of Funds
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
653836.89000000
3916.00000000
N/A
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
12.76000000
CITIC Securities International USA, LLC
8-68887
000158266
N/A
2.58000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
1111.89000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
10.42000000
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
2.89000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
204.34000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
6724.62000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
5.25000000
Virtu Financial BD LLC
N/A
N/A
54930088MP91YZQJT494
774.66000000
Cowen and Company
8-22522
000007616
549300WR155U7DVMIW58
3.80000000
8857.59000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
3036.53000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
43997.27999999
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
411956.04000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
425079.36000000
MUFG Securities Americas Inc.
8-43026
000019685
K5HU16E3LMSVCCJJJ255
8061.36000000
Virtu Financial BD LLC
N/A
N/A
54930088MP91YZQJT494
1321585.58000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
986624.23000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
26443.51000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1312706.51000000
4539490.40000000
Y
7806809.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Conservative ETF Allocation Fund
S000068835
5493008U7JI6MZD30J47
Y
7
7
0
Fund of Funds
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
1954501.19000000
9453.00000000
N/A
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
4.34999999
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
17.66000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
441.68000000
CITIC Securities International USA, LLC
8-68887
000158266
N/A
12.69000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
68.15000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
1467.92000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
4.97000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
14917.14000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
6.78000000
Virtu Financial BD LLC
N/A
N/A
54930088MP91YZQJT494
2264.98999999
19212.15000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
47064.70000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
3483316.00000000
Virtu Financial BD LLC
N/A
N/A
54930088MP91YZQJT494
1572001.83000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
464371.76000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
83811.72000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
58081.98000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
4206.84000000
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
700374.74000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
904295.73000000
7317525.30000000
Y
15458511.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay CBRE Global Infrastructure Fund
S000067318
549300MC8V250GROT805
N
6
1
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Cash collateral reinvestment fee
Revenue sharing split
5367658.69000000
44728.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
CBRE Clarion Securities LLC
801-49083
000106256
ZLNWJ4DL5ILHESCV3X63
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
N
Nordea Bank Abp
529900ODI3047E2LIV03
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Intesa Sanpaolo SpA
2W8N8UU78PMDQKZENC08
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong And Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
BMO Capital Markets Corp.
8-34344
000016686
RUC0QBLBRPRCU4W1NE59
5471.78999999
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
16424.25000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
9996.73000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
10018.77999999
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
10091.51000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
30583.86000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
5176.02000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
27593.86999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
40605.42000000
Exane, Inc.
8-49569
000041784
6SDWK6FV8H98XAGSYS75
5863.09000000
211598.94999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1820989.79000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
133948412.15000001
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
274091514.71000004
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
7500.00000000
409868416.65000010
Y
303676222.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
4.30.21_N-CEN_Letter_7.13.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Report of Independent Registered Public Accounting Firm
To the Shareholders of the Funds and Board of Trustees of MainStay Funds
Trust:
In planning and performing our audits of the financial statements of MainStay
CBRE Global Infrastructure Fund, MainStay CBRE Real Estate Fund, MainStay
MacKay Intermediate Tax Free Bond Fund, MainStay MacKay Short Term
Municipal Fund, MainStay Defensive ETF Allocation Fund, MainStay Conservative
ETF Allocation Fund, MainStay Moderate ETF Allocation Fund, MainStay Growth
ETF Allocation Fund, and MainStay Equity ETF Allocation Fund, nine of the
funds comprising MainStay Funds Trust (the Funds), as of and for the year or
period ended April 30, 2021, in accordance with the standards of the Public
Company Accounting Oversight Board (United States), we considered the Funds'
internal control over financial reporting, including controls over
safeguarding securities, as a basis for designing our auditing procedures
for the purpose of expressing our opinion on the financial statements and
to comply with the requirements of Form N-CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Funds' internal control
over financial reporting. Accordingly, we express no such opinion.
Management of the Funds is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to
assess the expected benefits and related costs of controls. A company's
internal control over financial reporting is a process designed to provide
reasonable assurance regarding the reliability of financial reporting and
the preparation of financial statements for external purposes in accordance
with generally accepted accounting principles. A company's internal control
over financial reporting includes those policies and procedures that
(1) pertain to the maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and dispositions of the
assets of the company; (2) provide reasonable assurance that transactions
are recorded as necessary to permit preparation of financial statements in
accordance with generally accepted accounting principles, and that receipts
and expenditures of the company are being made only in accordance with
authorizations of management and directors of the company; and (3) provide
reasonable assurance regarding prevention or timely detection of
unauthorized acquisition, use, or disposition of the company's assets
that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting
may not prevent or detect misstatements. Also, projections of any evaluation
of effectiveness to future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees,
in the normal course of performing their assigned functions, to prevent
or detect misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal control over
financial reporting, such that there is a reasonable possibility that a
material misstatement of the Funds' annual or interim financial
statements will not be prevented or detected on a timely basis.
KPMG LLP is a Delaware limited liability partnership and the U.S. member
firm of the KPMG network of independent member firms affiliated with KPMG
International Cooperative ("KPMG International"), a Swiss entity.
Our consideration of the Funds' internal control over financial reporting
was for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Funds' internal control over financial reporting and its operation,
including controls over safeguarding securities that we consider to be a
material weakness as defined above as of April 30, 2021.
This report is intended solely for the information and use of management
and the Board of Trustees of MainStay Funds Trust and the Securities and
Exchange Commission and is not intended to be and should not be used by
anyone other than these specified parties.
/s/ KPMG LLP
Philadelphia, Pennsylvania
June 24, 2021