schemaVersion:

N-CEN: Filer Information

Submission Contact Information

Name
 
Phone
 
E-Mail Address
 

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000068838 
Class ID Record:1
Class ID
C000220002 
Class ID Record:2
Class ID
C000221687 
Class ID Record:3
Class ID
C000220005 
Class ID Record:4
Class ID
C000220003 
Class ID Record:5
Class ID
C000220001 
Series ID Record:2
Series ID
S000067319 
Class ID Record:1
Class ID
C000216487 
Class ID Record:2
Class ID
C000216491 
Class ID Record:3
Class ID
C000216490 
Class ID Record:4
Class ID
C000216492 
Class ID Record:5
Class ID
C000216488 
Class ID Record:6
Class ID
C000216489 
Series ID Record:3
Series ID
S000065655 
Class ID Record:1
Class ID
C000212406 
Class ID Record:2
Class ID
C000212401 
Class ID Record:3
Class ID
C000212407 
Class ID Record:4
Class ID
C000212403 
Class ID Record:5
Class ID
C000212404 
Series ID Record:4
Series ID
S000068837 
Class ID Record:1
Class ID
C000220000 
Class ID Record:2
Class ID
C000219999 
Class ID Record:3
Class ID
C000219998 
Class ID Record:4
Class ID
C000221686 
Class ID Record:5
Class ID
C000219997 
Series ID Record:5
Series ID
S000068839 
Class ID Record:1
Class ID
C000221688 
Class ID Record:2
Class ID
C000220010 
Class ID Record:3
Class ID
C000220007 
Class ID Record:4
Class ID
C000220011 
Class ID Record:5
Class ID
C000220008 
Series ID Record:6
Series ID
S000028538 
Class ID Record:1
Class ID
C000087378 
Class ID Record:2
Class ID
C000087380 
Class ID Record:3
Class ID
C000087379 
Class ID Record:4
Class ID
C000222390 
Series ID Record:7
Series ID
S000068836 
Class ID Record:1
Class ID
C000219991 
Class ID Record:2
Class ID
C000219993 
Class ID Record:3
Class ID
C000219994 
Class ID Record:4
Class ID
C000219992 
Class ID Record:5
Class ID
C000221685 
Series ID Record:8
Series ID
S000068835 
Class ID Record:1
Class ID
C000219986 
Class ID Record:2
Class ID
C000219988 
Class ID Record:3
Class ID
C000219987 
Class ID Record:4
Class ID
C000221684 
Class ID Record:5
Class ID
C000219985 
Series ID Record:9
Series ID
S000067318 
Class ID Record:1
Class ID
C000216484 
Class ID Record:2
Class ID
C000216483 
Class ID Record:3
Class ID
C000216485 
Class ID Record:4
Class ID
C000216486 
Class ID Record:5
Class ID
C000216482 

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2021-04-30 
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
MAINSTAY FUNDS TRUST 
b. Investment Company Act file number ( e.g., 811-)
811-22321 
c. CIK
0001469192 
d. LEI
549300SQRLBSUG7RD002 

Item B.2. Address and telephone number of Registrant.

a. Street 1
51 MADISON AVENUE 
Street 2
 
b. City
NEW YORK 
c. State, if applicable
NEW YORK  
d. Foreign country, if applicable
UNITED STATES OF AMERICA  
e. Zip code and zip code extension, or foreign postal code
10010 
f. Telephone number (including country code if foreign)
212-576-7000 
g. Public Website, if any
nylinvestments.com/funds 

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
JPMorgan Chase Bank, N.A. 
b. Street 1
4 Chase Metrotech Center 
Street 2
 
c. City
New York 
d. State, if applicable
NEW YORK  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
11245 
g. Telephone number (including country code if foreign)
718-242-0609 
h. Briefly describe the books and records kept at this location:
Records relating to its functions as custodian, sub-administrator and accounting agent 
Location books Record: 2
a. Name of person (e.g., a custodian of records)
State Street Bank and Trust Company 
b. Street 1
1 Lincoln Street 
Street 2
 
c. City
Boston 
d. State, if applicable
MASSACHUSETTS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
02111 
g. Telephone number (including country code if foreign)
617-786-3000 
h. Briefly describe the books and records kept at this location:
Custody and Accounting Records. 

Item B.4. Initial of final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
MainStay Group of Funds 

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked  a. Open-end management investment company registered under the Act on Form N-1A 
Checkbox not checked  b. Closed-end management investment company registered under the Act on Form N-2  
Checkbox not checked  c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 
Checkbox not checked  d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 
Checkbox not checked  e. Small business investment company registered under the Act on Form N-5 
Checkbox not checked  f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 
Checkbox not checked  g. Unit investment trust registered under the Act on Form N-8B-2 
i. Total number of Series of the Registrant
32 

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button checked Yes Radio button not checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Susan B. Kerley 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-04052 
File Number Record: 2
File Number Record:
811-05812 
File Number Record: 3
File Number Record:
811-06740 
File Number Record: 4
File Number Record:
811-22551 
File Number Record: 5
File Number Record:
811-04550 
File Number Record: 6
File Number Record:
811-04254 
File Number Record: 7
File Number Record:
811-06310 
File Number Record: 8
File Number Record:
811-03833-01 
Director Record: 2
a. Full Name
Richard H. Nolan, Jr. 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-03833-01 
File Number Record: 2
File Number Record:
811-04550 
File Number Record: 3
File Number Record:
811-22551 
Director Record: 3
a. Full Name
David H. Chow 
b. CRD number, if any
001401207 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-10325 
File Number Record: 2
File Number Record:
811-22551 
File Number Record: 3
File Number Record:
811-03833-01 
File Number Record: 4
File Number Record:
811-04550 
Director Record: 4
a. Full Name
Richard S. Trutanic 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-04550 
File Number Record: 2
File Number Record:
811-22551 
File Number Record: 3
File Number Record:
811-03833-01 
Director Record: 5
a. Full Name
Yie-Hsin Hung 
b. CRD number, if any
001586401 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button checked Yes Radio button not checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-22551 
File Number Record: 2
File Number Record:
811-04550 
File Number Record: 3
File Number Record:
811-03833-01 
Director Record: 6
a. Full Name
Alan R. Latshaw 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-10027 
File Number Record: 2
File Number Record:
811-01519 
File Number Record: 3
File Number Record:
811-04550 
File Number Record: 4
File Number Record:
811-22551 
File Number Record: 5
File Number Record:
811-03833-01 
Director Record: 7
a. Full Name
Jacques P. Perold 
b. CRD number, if any
000000000 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-22551 
File Number Record: 2
File Number Record:
811-04550 
File Number Record: 3
File Number Record:
811-03833-01 

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Yi-Chia Kuo 
b. CRD Number, if any
000000000 
c. Street Address 1
30 Hudson Street 
Street Address 2
 
d. City
Jersey City 
e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Zip code and zip code extension, or foreign postal code
07302 
h. Telephone number (including country code if foreign)
XXXXXX 
i. Has the chief compliance officer changed since the last filing? Radio button not checked Yes Radio button checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
N/A 
ii. Person's IRS Employer Identification Number
N/A 

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-31663 
Release number Record: 2
i. If yes, provide below the release number for each order
IC-32190 
Release number Record: 3
i. If yes, provide below the release number for each order
IC-17318 
Release number Record: 4
i. If yes, provide below the release number for each order
IC-15758 

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
NYLIFE Distributors LLC 
ii. SEC file number (e.g., 8-)
8-46655 
iii. CRD number
000035350 
iv. LEI, if any
00000000000000000000 
v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button checked Yes Radio button not checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
KPMG LLP 
b. PCAOB Number
185 
c. LEI, if any
5493003PVCIGA21KOK42 
d. State, if applicable
PENNSYLVANIA  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button not checked Yes Radio button checked No

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

MainStay Moderate ETF Allocation Fund 

b. Series identication number, if any

S000068838 

c. LEI

549300JOJNTNEP7RUG97 

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

7 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class I 
ii. Class identification number, if any

C000220002 

iii. Ticker symbol, if any

MDAIX 

Shares Outstanding Record: 2
i. Full name of Class
SIMPLE Class 
ii. Class identification number, if any

C000221687 

iii. Ticker symbol, if any

MDAVX 

Shares Outstanding Record: 3
i. Full name of Class
Class A 
ii. Class identification number, if any

C000220005 

iii. Ticker symbol, if any

MDAAX 

Shares Outstanding Record: 4
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000220003 

iii. Ticker symbol, if any

MDARX 

Shares Outstanding Record: 5
i. Full name of Class
Class C 
ii. Class identification number, if any

C000220001 

iii. Ticker symbol, if any

MDAKX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

2,996,642.36000000 

g. Provide the net income from securities lending activities

16,715.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox not checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

31.37000000 

Brokers Record: 2
i. Full name of broker
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,223.05000000 

Brokers Record: 3
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11.51000000 

Brokers Record: 4
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10.53000000 

Brokers Record: 5
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

39.52000000 

Brokers Record: 6
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

28,403.13000000 

Brokers Record: 7
i. Full name of broker
Credit Agricole Securities (USA) Inc. 
ii. SEC file number

8-13753 

iii. CRD number
000000190 
iv. LEI, if any

549300WO2DKF0Q3YMV43 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7.97000000 

Brokers Record: 8
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,961.02000000 

Brokers Record: 9
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,050.63000000 

Brokers Record: 10
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11.82000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

37,756.14000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,640,427.20000000 

Principal Transactions Record: 2
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

24,768.05000000 

Principal Transactions Record: 3
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

161,426.64000000 

Principal Transactions Record: 4
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,387,829.47000000 

Principal Transactions Record: 5
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

467,324.17000000 

Principal Transactions Record: 6
i. Full name of dealer
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,564,454.25999999 

Principal Transactions Record: 7
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,148,341.29000000 

Principal Transactions Record: 8
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

27,907.17000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

13,422,478.25000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

30,613,512.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 14
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 37
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

MainStay CBRE Real Estate Fund 

b. Series identication number, if any

S000067319 

c. LEI

549300YLI7OLZQMGC155 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

1 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class C 
ii. Class identification number, if any

C000216487 

iii. Ticker symbol, if any

CRCRX 

Shares Outstanding Record: 2
i. Full name of Class
Class R6 
ii. Class identification number, if any

C000216491 

iii. Ticker symbol, if any

VREQX 

Shares Outstanding Record: 3
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000216490 

iii. Ticker symbol, if any

CRWRX 

Shares Outstanding Record: 4
i. Full name of Class
Class A 
ii. Class identification number, if any

C000216492 

iii. Ticker symbol, if any

CLARX 

Shares Outstanding Record: 5
i. Full name of Class
Investor Class 
ii. Class identification number, if any

C000216488 

iii. Ticker symbol, if any

CRVRX 

Shares Outstanding Record: 6
i. Full name of Class
Class I 
ii. Class identification number, if any

C000216489 

iii. Ticker symbol, if any

CRARX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

3,863,356.80000000 

g. Provide the net income from securities lending activities

436.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
CBRE Clarion Securities LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-49083 

iii. CRD number
000106256 
iv. LEI, if any

ZLNWJ4DL5ILHESCV3X63 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

084-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Standard & Poor's Financial Services LLC 
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv US Holdings Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJO7N016 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
ICE Data Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

13-3668779 

Description of other identifying number

Tax ID 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 3
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any, or other identifying number

571474TGEMMWANRLN572 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

61,165.84000000 

Brokers Record: 2
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

35,581.56000000 

Brokers Record: 3
i. Full name of broker
Bofa Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

48,788.65000000 

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

67,364.28999999 

Brokers Record: 5
i. Full name of broker
Raymond James & Associates, Inc. 
ii. SEC file number

8-10999 

iii. CRD number
000000705 
iv. LEI, if any

U4ONQX15J3RO8XCKE979 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

43,425.36000000 

Brokers Record: 6
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

64,469.51000000 

Brokers Record: 7
i. Full name of broker
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. LEI, if any

5493008F0LRLS5N8LZ81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

60,340.22999999 

Brokers Record: 8
i. Full name of broker
MKM Partners LLC 
ii. SEC file number

8-53436 

iii. CRD number
000114666 
iv. LEI, if any

25490041O5W104HFWA62 

v. State, if applicable
CONNECTICUT  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

30,480.26999999 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

25,748.01000000 

Brokers Record: 10
i. Full name of broker
KeyBanc Capital Markets Inc. 
ii. SEC file number

8-30177 

iii. CRD number
000000566 
iv. LEI, if any

2EQWV0180Z211YVAD813 

v. State, if applicable
OHIO  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

19,711.61000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

579,021.11000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
000000000 
iv. LEI, if any

571474TGEMMWANRLN572 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

165,255,290.51000002 

Principal Transactions Record: 2
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

937,277.25000000 

Principal Transactions Record: 3
i. Full name of dealer
Bofa Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,141,070.00000000 

Principal Transactions Record: 4
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,769,402.30000000 

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

26,679,683.50000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

197,782,723.56000003 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

416,940,282.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 32
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 2
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

MainStay MacKay Intermediate Tax Free Bond Fund 

b. Series identication number, if any

S000065655 

c. LEI

5493000LT19PUC5F8893 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

6 

b. How many new Classes of shares of the Fund were added during the reporting period?

1 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class I 
ii. Class identification number, if any

C000212406 

iii. Ticker symbol, if any

MTFGX 

Shares Outstanding Record: 2
i. Full name of Class
Class R6 
ii. Class identification number, if any

C000212401 

iii. Ticker symbol, if any

MTFHX 

Shares Outstanding Record: 3
i. Full name of Class
Class C 
ii. Class identification number, if any

C000212407 

iii. Ticker symbol, if any

MTFFX 

Shares Outstanding Record: 4
i. Full name of Class
Investor Class 
ii. Class identification number, if any

C000212403 

iii. Ticker symbol, if any

MTFEX 

Shares Outstanding Record: 5
i. Full name of Class
Class A 
ii. Class identification number, if any

C000212404 

iii. Ticker symbol, if any

MTFDX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Standard & Poor's Financial Services LLC 
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
ICE Data Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

13-3668779 

Description of other identifying number

Tax ID 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Refinitiv US Holdings Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJO7N016 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Euroclear 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any, or other identifying number

571474TGEMMWANRLN572 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 3
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

879.50000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

879.50000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Bofa Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,745,708.40000000 

Principal Transactions Record: 2
i. Full name of dealer
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6,739,129.91000000 

Principal Transactions Record: 3
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,516,422.50000000 

Principal Transactions Record: 4
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,595,010.00000000 

Principal Transactions Record: 5
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,737,920.00000000 

Principal Transactions Record: 6
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,802,932.50000000 

Principal Transactions Record: 7
i. Full name of dealer
Piper Sandler & Co. 
ii. SEC file number

8-15204 

iii. CRD number
000000665 
iv. LEI, if any

549300GRQCWQ3XGH0H10 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,814,676.00000000 

Principal Transactions Record: 8
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,460,529.00000000 

Principal Transactions Record: 9
i. Full name of dealer
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,534,825.00000000 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,414,905.50000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

78,952,854.35999998 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

57,493,973.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 33
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

MainStay Equity ETF Allocation Fund 

b. Series identication number, if any

S000068837 

c. LEI

549300SHIJ0IQK4OIO27 

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

7 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class I 
ii. Class identification number, if any

C000220000 

iii. Ticker symbol, if any

MWFIX 

Shares Outstanding Record: 2
i. Full name of Class
Class C 
ii. Class identification number, if any

C000219999 

iii. Ticker symbol, if any

MWFCX 

Shares Outstanding Record: 3
i. Full name of Class
Class A 
ii. Class identification number, if any

C000219998 

iii. Ticker symbol, if any

MWFAX 

Shares Outstanding Record: 4
i. Full name of Class
SIMPLE Class 
ii. Class identification number, if any

C000221686 

iii. Ticker symbol, if any

MWFVX 

Shares Outstanding Record: 5
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000219997 

iii. Ticker symbol, if any

MWFQX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

1,142,777.51000000 

g. Provide the net income from securities lending activities

8,362.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox not checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

22.37000000 

Brokers Record: 2
i. Full name of broker
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

952.26000000 

Brokers Record: 3
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

205.55000000 

Brokers Record: 4
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,606.10000000 

Brokers Record: 5
i. Full name of broker
Credit Agricole Securities (USA) Inc. 
ii. SEC file number

8-13753 

iii. CRD number
000000190 
iv. LEI, if any

549300WO2DKF0Q3YMV43 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

46.60000000 

Brokers Record: 6
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,016.26000000 

Brokers Record: 7
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

23.03000000 

Brokers Record: 8
i. Full name of broker
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11.86000000 

Brokers Record: 9
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

16.78000000 

Brokers Record: 10
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

17.23000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

12,942.18000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

327,718.40999999 

Principal Transactions Record: 2
i. Full name of dealer
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,235,417.26000000 

Principal Transactions Record: 3
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

17,371.66999999 

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,286,822.87000000 

Principal Transactions Record: 5
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

48,180.12000000 

Principal Transactions Record: 6
i. Full name of dealer
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

951,835.29000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

6,867,345.62000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

10,323,325.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 25
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 66
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

MainStay Growth ETF Allocation Fund 

b. Series identication number, if any

S000068839 

c. LEI

549300HI7ZY5OLM06I80 

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

7 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
SIMPLE Class 
ii. Class identification number, if any

C000221688 

iii. Ticker symbol, if any

MOEVX 

Shares Outstanding Record: 2
i. Full name of Class
Class I 
ii. Class identification number, if any

C000220010 

iii. Ticker symbol, if any

MOEIX 

Shares Outstanding Record: 3
i. Full name of Class
Class A 
ii. Class identification number, if any

C000220007 

iii. Ticker symbol, if any

MOEAX 

Shares Outstanding Record: 4
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000220011 

iii. Ticker symbol, if any

MOERX 

Shares Outstanding Record: 5
i. Full name of Class
Class C 
ii. Class identification number, if any

C000220008 

iii. Ticker symbol, if any

MOECX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

2,108,672.13000000 

g. Provide the net income from securities lending activities

11,623.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox not checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

742.73000000 

Brokers Record: 2
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,145.48999999 

Brokers Record: 3
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

7.13000000 

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12.40000000 

Brokers Record: 5
i. Full name of broker
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

29.93000000 

Brokers Record: 6
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

15,157.65000000 

Brokers Record: 7
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

23.03000000 

Brokers Record: 8
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-00422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

52.13000000 

Brokers Record: 9
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

101.58000000 

Brokers Record: 10
i. Full name of broker
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,444.09000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

20,722.47000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

168,622.25000000 

Principal Transactions Record: 2
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

602,677.43999999 

Principal Transactions Record: 3
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

14,893.46000000 

Principal Transactions Record: 4
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

81,333.00000000 

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,425,527.70000000 

Principal Transactions Record: 6
i. Full name of dealer
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,237,016.89999999 

Principal Transactions Record: 7
i. Full name of dealer
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,443,064.30000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

7,973,135.04999999 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

16,625,408.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 39
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 18
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 35
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 44
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 6

Item C.1. Background information.

a. Full Name of the Fund

MainStay MacKay Short Term Municipal Fund 

b. Series identication number, if any

S000028538 

c. LEI

549300ZY6MAJ3210UG92 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

6 

b. How many new Classes of shares of the Fund were added during the reporting period?

2 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class 
ii. Class identification number, if any

C000087378 

iii. Ticker symbol, if any

MYTBX 

Shares Outstanding Record: 2
i. Full name of Class
Class I 
ii. Class identification number, if any

C000087380 

iii. Ticker symbol, if any

MSTIX 

Shares Outstanding Record: 3
i. Full name of Class
Class A 
ii. Class identification number, if any

C000087379 

iii. Ticker symbol, if any

MSTAX 

Shares Outstanding Record: 4
i. Full name of Class
Class A2 
ii. Class identification number, if any

C000222390 

iii. Ticker symbol, if any

MSTUX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
MacKay Shields LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-5594 

iii. CRD number
000107717 
iv. LEI, if any

549300Y7LLCOFU7R8H16 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

13-3668779 

Description of other identifying number

Tax ID 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Standard & Poor's Financial Services LLC 
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Refinitiv US Holdings Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJO7N016 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Euroclear Bank 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
State Street Bank and Trust Company (Edinburgh, GB, Branch) 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
State Street Trust Company Canada 
ii. LEI, if any

549300L71XG2CTQ2V827 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
Administrators Record: 2
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any, or other identifying number

571474TGEMMWANRLN572 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 3
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

550.00000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

550.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. LEI, if any

AC28XWWI3WIBK2824319 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

72,582,732.85000000 

Principal Transactions Record: 2
i. Full name of dealer
D.A. Davidson & Co. 
ii. SEC file number

8-02399 

iii. CRD number
000000199 
iv. LEI, if any

549300094RQ5A7DYLF51 

v. State, if applicable
MONTANA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

72,001,573.34999999 

Principal Transactions Record: 3
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

178,119,372.39999998 

Principal Transactions Record: 4
i. Full name of dealer
Piper Sandler & Co. 
ii. SEC file number

8-15204 

iii. CRD number
000000665 
iv. LEI, if any

549300GRQCWQ3XGH0H10 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

35,216,510.54999999 

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

341,705,366.95000017 

Principal Transactions Record: 6
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

77,551,534.00000001 

Principal Transactions Record: 7
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

85,913,327.90000000 

Principal Transactions Record: 8
i. Full name of dealer
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

95,604,769.85000000 

Principal Transactions Record: 9
i. Full name of dealer
Bofa Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

322,484,632.39999998 

Principal Transactions Record: 10
i. Full name of dealer
ROBERT W. BAIRD & CO. INCORPORATED 
ii. SEC file number

8-00497 

iii. CRD number
000008158 
iv. LEI, if any

549300772UJAHRD6LO53 

v. State, if applicable
WISCONSIN  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

72,615,359.44999998 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,721,193,760.88000010 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,477,586,853.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 8
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 17
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 59
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 11
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 20
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 50
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 60
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 7

Item C.1. Background information.

a. Full Name of the Fund

MainStay Defensive ETF Allocation Fund 

b. Series identication number, if any

S000068836 

c. LEI

549300BQF44GCXX70268 

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

7 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000219991 

iii. Ticker symbol, if any

MDNRX 

Shares Outstanding Record: 2
i. Full name of Class
Class C 
ii. Class identification number, if any

C000219993 

iii. Ticker symbol, if any

MDNCX 

Shares Outstanding Record: 3
i. Full name of Class
Class A 
ii. Class identification number, if any

C000219994 

iii. Ticker symbol, if any

MDNAX 

Shares Outstanding Record: 4
i. Full name of Class
Class I 
ii. Class identification number, if any

C000219992 

iii. Ticker symbol, if any

MDNIX 

Shares Outstanding Record: 5
i. Full name of Class
SIMPLE Class 
ii. Class identification number, if any

C000221685 

iii. Ticker symbol, if any

MDNVX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

653,836.89000000 

g. Provide the net income from securities lending activities

3,916.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox not checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12.76000000 

Brokers Record: 2
i. Full name of broker
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2.58000000 

Brokers Record: 3
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,111.89000000 

Brokers Record: 4
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10.42000000 

Brokers Record: 5
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2.89000000 

Brokers Record: 6
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

204.34000000 

Brokers Record: 7
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6,724.62000000 

Brokers Record: 8
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5.25000000 

Brokers Record: 9
i. Full name of broker
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

774.66000000 

Brokers Record: 10
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

3.80000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

8,857.59000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,036.53000000 

Principal Transactions Record: 2
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

43,997.27999999 

Principal Transactions Record: 3
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

411,956.04000000 

Principal Transactions Record: 4
i. Full name of dealer
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

425,079.36000000 

Principal Transactions Record: 5
i. Full name of dealer
MUFG Securities Americas Inc. 
ii. SEC file number

8-43026 

iii. CRD number
000019685 
iv. LEI, if any

K5HU16E3LMSVCCJJJ255 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

8,061.36000000 

Principal Transactions Record: 6
i. Full name of dealer
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,321,585.58000000 

Principal Transactions Record: 7
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

986,624.23000000 

Principal Transactions Record: 8
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

26,443.51000000 

Principal Transactions Record: 9
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,312,706.51000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

4,539,490.40000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

7,806,809.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 29
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 32
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 38
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 41
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 45
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 47
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 58
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 64
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 23
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 24
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 31
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 39
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 41
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 57
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 62
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 66
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 8

Item C.1. Background information.

a. Full Name of the Fund

MainStay Conservative ETF Allocation Fund 

b. Series identication number, if any

S000068835 

c. LEI

5493008U7JI6MZD30J47 

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

7 

b. How many new Classes of shares of the Fund were added during the reporting period?

7 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class C 
ii. Class identification number, if any

C000219986 

iii. Ticker symbol, if any

MNEKX 

Shares Outstanding Record: 2
i. Full name of Class
Class A 
ii. Class identification number, if any

C000219988 

iii. Ticker symbol, if any

MNEAX 

Shares Outstanding Record: 3
i. Full name of Class
Class I 
ii. Class identification number, if any

C000219987 

iii. Ticker symbol, if any

MNELX 

Shares Outstanding Record: 4
i. Full name of Class
SIMPLE Class 
ii. Class identification number, if any

C000221684 

iii. Ticker symbol, if any

MNEVX 

Shares Outstanding Record: 5
i. Full name of Class
Class R3 
ii. Class identification number, if any

C000219985 

iii. Ticker symbol, if any

MNERX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

1,954,501.19000000 

g. Provide the net income from securities lending activities

9,453.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox not checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
 
ii. SEC file number ( e.g., 801- ), if applicable

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4.34999999 

Brokers Record: 2
i. Full name of broker
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-01447 

iii. CRD number
000000793 
iv. LEI, if any

5WUVMA08EYG4KEUPW589 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

17.66000000 

Brokers Record: 3
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

441.68000000 

Brokers Record: 4
i. Full name of broker
CITIC Securities International USA, LLC 
ii. SEC file number

8-68887 

iii. CRD number
000158266 
iv. LEI, if any

N/A 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

12.69000000 

Brokers Record: 5
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

68.15000000 

Brokers Record: 6
i. Full name of broker
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,467.92000000 

Brokers Record: 7
i. Full name of broker
Virtu Americas LLC 
ii. SEC file number

8-68193 

iii. CRD number
000149823 
iv. LEI, if any

549300RA02N3BNSWBV74 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

4.97000000 

Brokers Record: 8
i. Full name of broker
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

14,917.14000000 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

6.78000000 

Brokers Record: 10
i. Full name of broker
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,264.98999999 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

19,212.15000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. LEI, if any

VYVVCKR63DVZZN70PB21 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

47,064.70000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,483,316.00000000 

Principal Transactions Record: 3
i. Full name of dealer
Virtu Financial BD LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. LEI, if any

54930088MP91YZQJT494 

v. State, if applicable
TEXAS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,572,001.83000000 

Principal Transactions Record: 4
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

464,371.76000000 

Principal Transactions Record: 5
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. LEI, if any

12UUJYTN7D3SW8KCSG25 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

83,811.72000000 

Principal Transactions Record: 6
i. Full name of dealer
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

58,081.98000000 

Principal Transactions Record: 7
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,206.84000000 

Principal Transactions Record: 8
i. Full name of dealer
Jane Street Capital, LLC 
ii. SEC file number

8-52275 

iii. CRD number
000103782 
iv. LEI, if any

549300ZM16HMPEPNV857 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

700,374.74000000 

Principal Transactions Record: 9
i. Full name of dealer
Mischler Financial Group, Inc. 
ii. SEC file number

8-48067 

iii. CRD number
000037818 
iv. LEI, if any

2549004IPXPSM9EJFC92 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

904,295.73000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

7,317,525.30000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

15,458,511.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 4
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 10
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 13
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 19
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 26
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 40
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 42
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 46
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 58
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 65
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 69
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 4
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 5
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 7
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 9
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 12
Name of fund
MainStay CBRE Global Infrastructure Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 14
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 15
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 17
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 19
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 21
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 22
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 23
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 26
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 27
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 28
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 36
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 38
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 40
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 43
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 55
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 63
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 67
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 68
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 71
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 9

Item C.1. Background information.

a. Full Name of the Fund

MainStay CBRE Global Infrastructure Fund 

b. Series identication number, if any

S000067318 

c. LEI

549300MC8V250GROT805 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

6 

b. How many new Classes of shares of the Fund were added during the reporting period?

1 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Class R6 
ii. Class identification number, if any

C000216484 

iii. Ticker symbol, if any

VCRQX 

Shares Outstanding Record: 2
i. Full name of Class
Class I 
ii. Class identification number, if any

C000216483 

iii. Ticker symbol, if any

VCRIX 

Shares Outstanding Record: 3
i. Full name of Class
Investor Class 
ii. Class identification number, if any

C000216485 

iii. Ticker symbol, if any

VCRVX 

Shares Outstanding Record: 4
i. Full name of Class
Class A 
ii. Class identification number, if any

C000216486 

iii. Ticker symbol, if any

VCRAX 

Shares Outstanding Record: 5
i. Full name of Class
Class C 
ii. Class identification number, if any

C000216482 

iii. Ticker symbol, if any

VCRCX 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
JPMorgan Chase Bank NA 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

5,367,658.69000000 

g. Provide the net income from securities lending activities

44,728.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox not checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
New York Life Investment Management LLC 
ii. SEC file number ( e.g., 801- )

801-57396 

iii.CRD number
000109591 
iv. LEI, if any

IGJ1X7QLRC5K7CY9GE11 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
CBRE Clarion Securities LLC 
ii. SEC file number ( e.g., 801- ), if applicable

801-49083 

iii. CRD number
000106256 
iv. LEI, if any

ZLNWJ4DL5ILHESCV3X63 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number ( e.g., 801- )

 

iii. CRD number
 
iv. LEI, if any

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii.SEC file number ( e.g., 84- or 85- )

84-00896 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
Transfer Agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii.SEC file number ( e.g., 84- or 85- )

084-05844 

iii. LEI, if any

00000000000000000000 

iv. State, if applicable
NEW JERSEY  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

13-3668779 

Description of other identifying number

Tax ID 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Standard & Poor's Financial Services LLC 
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Refinitiv US Holdings Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300NF240HXJO7N016 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 6
i. Full name
IHS Markit Ltd. 
ii. LEI, if any, or provide and describe other identifying number

549300HLPTRASHS0E726 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Nordea Bank Abp 
ii. LEI, if any

529900ODI3047E2LIV03 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
BNP Paribas Securities Services S.C.A. 
ii. LEI, if any

549300WCGB70D06XZS54 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
J.P. Morgan S.A. DTVM 
ii. LEI, if any

5493001LS7J56NZZ3G07 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
UBS Switzerland AG 
ii. LEI, if any

549300WOIFUSNYH0FL22 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Deutsche Bank, Sociedad Anonima Espanola 
ii. LEI, if any

529900SICIK5OVMVY186 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Nordea Bank Abp 
ii. LEI, if any

529900ODI3047E2LIV03 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Santander Securities Services, S.A. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
State Street Bank and Trust Company (Edinburgh, GB, Branch) 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Intesa Sanpaolo SpA 
ii. LEI, if any

2W8N8UU78PMDQKZENC08 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
State Street Trust Company Canada 
ii. LEI, if any

549300L71XG2CTQ2V827 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Skandinaviska Enskilda Banken AB 
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
State Street Bank International GmbH 
ii. LEI, if any

ZMHGNT7ZPKZ3UFZ8EO46 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Skandinaviska Enskilda Banken A/S 
ii. LEI, if any

N/A 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Citibank, National Association (Singapore, SG, Branch) 
ii. LEI, if any

E57ODZWZ7FF32TWEFA76 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any

571474TGEMMWANRLN572 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
Mizuho Bank, Ltd. 
ii. LEI, if any

RB0PEZSDGCO3JS6CEU02 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Nordea Bank Abp 
ii. LEI, if any

529900ODI3047E2LIV03 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

7W1GMC6J4KGLBBUSYP52 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
The Hongkong And Shanghai Banking Corporation Limited 
ii. LEI, if any

2HI3YI5320L3RW6NJ957 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
Royal Bank of Canada 
ii. LEI, if any

ES7IP3U3RHIGC71XBU11 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
DST Asset Manager Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

84-00896 

Description of other identifying number

SEC File Number 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
NYLIM Service Company LLC 
ii. LEI, if any, or provide and describe other identifying number

084-05844 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW JERSEY  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
State Street Bank and Trust Company 
ii. LEI, if any, or other identifying number

571474TGEMMWANRLN572 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 3
i. Full name
New York Life Investment Management LLC 
ii. LEI, if any, or other identifying number

IGJ1X7QLRC5K7CY9GE11 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
NYLIFE Distributors LLC 
b. SEC file number

8-46655 

c. CRD number
000035350 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW JERSEY  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
NYLIFE Securities LLC 
b. SEC file number

8-15517 

c. CRD number
000005167 
d. LEI, if any

00000000000000000000 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. LEI, if any

RUC0QBLBRPRCU4W1NE59 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,471.78999999 

Brokers Record: 2
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

iii. CRD number
000007059 
iv. LEI, if any

MBNUM2BPBDO7JBLYG310 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

16,424.25000000 

Brokers Record: 3
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

9,996.73000000 

Brokers Record: 4
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. LEI, if any

549300HN4UKV1E2R3U73 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,018.77999999 

Brokers Record: 5
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

iii. CRD number
000000361 
iv. LEI, if any

FOR8UP27PHTHYVLBNG30 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,091.51000000 

Brokers Record: 6
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. LEI, if any

549300LCO2FLSSVFFR64 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

30,583.86000000 

Brokers Record: 7
i. Full name of broker
Credit Suisse Securities (USA) LLC 
ii. SEC file number

8-422 

iii. CRD number
000000816 
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,176.02000000 

Brokers Record: 8
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

27,593.86999999 

Brokers Record: 9
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

40,605.42000000 

Brokers Record: 10
i. Full name of broker
Exane, Inc. 
ii. SEC file number

8-49569 

iii. CRD number
000041784 
iv. LEI, if any

6SDWK6FV8H98XAGSYS75 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

5,863.09000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

211,598.94999999 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,820,989.79000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. LEI, if any

ZBUT11V806EZRVTWT807 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

133,948,412.15000001 

Principal Transactions Record: 3
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
000000000 
iv. LEI, if any

571474TGEMMWANRLN572 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

274,091,514.71000004 

Principal Transactions Record: 4
i. Full name of dealer
BTIG, LLC 
ii. SEC file number

8-65473 

iii. CRD number
000122225 
iv. LEI, if any

549300GTG9PL6WO3EC51 

v. State, if applicable
CALIFORNIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,500.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

409,868,416.65000010 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

303,676,222.00000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

600,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 2
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 3
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 7
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 8
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 9
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 10
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 13
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 15
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 16
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 20
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 21
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 22
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 24
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 25
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 27
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 28
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 29
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 30
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 33
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 34
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 35
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 36
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 37
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 43
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 44
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 46
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 47
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 48
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 51
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 52
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 55
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 56
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 57
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 60
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 62
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 63
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 64
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 65
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 70
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 71
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No

Line of Credit details Record: 2 i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted ii. What size is the line of credit?

100,000,000.00000000 

iii. With which institution(s) is the line of credit? Line Institutions Record: 1Name of institution
State Street Bank and Trust Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared 1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
MainStay VP MacKay International Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 2
Name of fund
MainStay VP Indexed Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 3
Name of fund
MainStay Income Builder Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 4
Name of fund
MainStay CBRE Real Estate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 5
Name of fund
MainStay MacKay Total Return Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 6
Name of fund
MainStay VP MacKay High Yield Corporate Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 7
Name of fund
MainStay VP IQ Hedge Multi-Strategy Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 8
Name of fund
MainStay VP MacKay S&P 500 Index Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 9
Name of fund
MainStay MacKay Strategic Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 10
Name of fund
MainStay Equity Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 11
Name of fund
MainStay MacKay Intermediate Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 12
Name of fund
MainStay MacKay International Equity Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 13
Name of fund
MainStay VP PIMCO Real Return Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 14
Name of fund
MainStay VP Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 15
Name of fund
MainStay Epoch International Choice Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 16
Name of fund
Mainstay Short Term Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 17
Name of fund
MainStay MacKay California Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 18
Name of fund
MainStay Epoch Capital Growth Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 19
Name of fund
MainStay VP MacKay Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 20
Name of fund
MainStay MacKay Tax Free Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 21
Name of fund
MainStay Candriam Emerging Markets Debt Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 22
Name of fund
MainStay Conservative ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 23
Name of fund
MainStay Growth Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 24
Name of fund
MainStay VP Fidelity Institutional AM Utilities Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 25
Name of fund
MainStay VP Epoch U.S. Equity Yield Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 26
Name of fund
MainStay Balanced Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 27
Name of fund
MainStay Winslow Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 28
Name of fund
MainStay VP Winslow Large Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 29
Name of fund
MainStay VP Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 30
Name of fund
MainStay Epoch U.S. Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 31
Name of fund
MainStay Growth ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 32
Name of fund
MainStay WMC International Research Equity Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 33
Name of fund
MainStay WMC Growth Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 34
Name of fund
MainStay VP Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 35
Name of fund
MainStay WMC Value Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 36
Name of fund
MainStay Candriam Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 37
Name of fund
MainStay VP Moderate Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 38
Name of fund
MainStay VP MacKay Convertible Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 39
Name of fund
MainStay VP Emerging Markets Equity Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 40
Name of fund
MainStay VP Mellon Natural Resources Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 41
Name of fund
MainStay Defensive ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 42
Name of fund
MainStay MacKay High Yield Municipal Bond Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 43
Name of fund
MainStay VP MacKay Mid Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 44
Name of fund
MainStay Epoch Global Equity Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 45
Name of fund
MainStay VP T. Rowe Price Equity Income Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 46
Name of fund
MainStay VP Income Builder Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 47
Name of fund
MainStay Moderate ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 48
Name of fund
MainStay Floating Rate Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 49
Name of fund
MainStay WMC Enduring Capital Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 50
Name of fund
MainStay MacKay U.S. Infrastructure Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 51
Name of fund
MainStay MacKay Short Duration High Yield Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 52
Name of fund
MainStay VP Conservative Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 53
Name of fund
MainStay VP MacKay Small Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 54
Name of fund
MainStay MacKay Short Term Municipal Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 55
Name of fund
MainStay MacKay New York Tax Free Opportunities Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 56
Name of fund
MainStay VP Small Cap Growth Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 57
Name of fund
MainStay VP Janus Henderson Balanced Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 58
Name of fund
MainStay VP MacKay Strategic Bond Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 59
Name of fund
MainStay WMC Small Companies Fund  
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 60
Name of fund
MainStay VP CBRE Global Infrastructure Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 61
Name of fund
MainStay Equity ETF Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 62
Name of fund
MainStay Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 63
Name of fund
MainStay MacKay S&P 500 Index Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 64
Name of fund
MainStay VP MacKay Government Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 65
Name of fund
Mainstay Cushing MLP Premier Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 66
Name of fund
MainStay VP Moderate Growth Allocation Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 67
Name of fund
MainStay Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-22321 
Shared Credit Users Record: 68
Name of fund
MainStay MacKay High Yield Corporate Bond Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 69
Name of fund
MainStay VP MacKay Common Stock Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
Shared Credit Users Record: 70
Name of fund
MainStay MacKay Convertible Fund 
SEC File number( e.g., 811- )
811-04550 
Shared Credit Users Record: 71
Name of fund
MainStay VP Floating Rate Portfolio 
SEC File number( e.g., 811- )
811-03833-01 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked   i. Legal proceedings  
Checkbox not checked  ii. Provision of financial support  
Checkbox checked  iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)  
Checkbox not checked  iv. Change in accounting principles and practices  
Checkbox not checked  v. Information required to be filed pursuant to exemptive orders  
Checkbox not checked  vi. Other information required to be included as an attachment pursuant to Commission rules and regulations 

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
MAINSTAY FUNDS TRUST 
Date
2021-04-30 
Signature
Jack Benintende 
Title
Treasurer