0001752724-22-025542.txt : 20220211
0001752724-22-025542.hdr.sgml : 20220211
20220211163928
ACCESSION NUMBER: 0001752724-22-025542
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20211130
FILED AS OF DATE: 20220211
DATE AS OF CHANGE: 20220211
EFFECTIVENESS DATE: 20220211
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MAINSTAY FUNDS TRUST
CENTRAL INDEX KEY: 0001469192
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22321
FILM NUMBER: 22621854
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212 576 7000
MAIL ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
0001469192
S000045768
MainStay Cushing MLP Premier Fund
C000142690
Class A
CSHAX
C000142691
Class C
CSHCX
C000142692
Class I
CSHZX
C000142693
Investor Class
CSHNX
N-CEN
1
primary_doc.xml
X0404
N-CEN
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C000142691
MAINSTAY FUNDS TRUST
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0001469192
549300SQRLBSUG7RD002
51 MADISON AVE
New York
10010
US-NY
US
212-576-7000
JPMorgan Chase Bank, N.A.
4 Chase Metrotech Center
New York
11245
718-242-0609
Records relating to its functions as custodian, sub-administrator and accounting agent
U.S. Bancorp Fund Services LLC
615 East Michigan Street
Milwaukee
53202
18336121912
Journals containing an itemized daily record in detail of all purchases and sales of securities, all receipts and deliveries ofsecurities, all receipts and disbursements of cash and all other debits and credits. General and auxiliary ledgers reflecting assets, liability, reserve, capital, income and expense accounts.
N
N
N-1A
33
Y
David H. Chow
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N
Jacques P. Perold
000000000
N
Richard H. Nolan, Jr.
000000000
N
Richard S. Trutanic
000000000
N
Susan B. Kerley
000000000
N
Yie-Hsin Hung
001586401
Y
Alan R. Latshaw
000000000
N
Kevin M. Bopp
000000000
30 Hudson Street
Jersey City
07302
XXXXXX
Y
N
N
N
N
N
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
Y
N
KPMG LLP
185
5493003PVCIGA21K0K42
N
N
N
N
N
N
N
MainStay Cushing MLP Premier Fund
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Rule 22d-1 (17 CFR 270.22d-1)
Rule 15a-4 (17 CFR 270.15a-4)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
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N
Cushing Asset Management LP
801-63255
000131517
549300J4XZOND2340P82
N
N
NYLIM Service Company LLC
084-05844
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Y
N
DST Asset Manager Solutions, Inc.
84-00896
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N
Y
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ICE Data Pricing & Reference Data, LLC
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LEI Number
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N
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
U.S. Bank N.A.
6BYL5QZYBDK8S7L73M02
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
U.S. Bancorp Fund Services LLC
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NYLIFE Securities LLC
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NYLIFE Distributors LLC
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J.P. Morgan Securities LLC
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BTIG LLC
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Morgan Stanley & Co. LLC
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RBC Capital Markets, LLC
8-45411
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Goldman Sachs & Co. LLC
8-00129
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Wells Fargo Securities, LLC
8-65876
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UBS Securities LLC
8-22651
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National Financial Services LLC
8-26740
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549300JRHF1MHHWUAW04
50999.92000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
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91992.00000000
Cantor Fitzgerald & Co.
8-00201
000000134
5493004J7H4GCPG6OB62
20210.44000000
849913.53000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
5720000.00000000
B. Riley FBR, Inc.
8-41426
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332610.00000000
Goldman Sachs & Co. LLC
8-00129
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FOR8UP27PHTHYVLBNG30
5250000.00000000
J.P. Morgan Securities LLC
8-35008
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ZBUT11V806EZRVTWT807
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311985653.90000000
Y
616427342.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
MS_FUNDS_TRUST.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Report of Independent Registered Public Accounting Firm
To the Shareholders of the Fund and
Board of Trustees of MainStay Funds Trust:
In planning and performing our audit of the financial statements of MainStay
Cushing MLP Premier Fund (the Fund), one of the funds comprising MainStay
Funds Trust, as of and for the year ended November 30, 2021, in accordance
with the standards of the Public Company Accounting Oversight Board (United
States), we considered the Fund's internal control over financial reporting,
including controls over safeguarding securities, as a basis for designing our
auditing procedures for the purpose of expressing our opinion on the financial
statements and to comply with the requirements of Form N-CEN, but not for the
purpose of expressing an opinion on the effectiveness of the Fund's internal
control over financial reporting. Accordingly, we express no such opinion.
Management of the Fund is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A company's internal
control over financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and the preparation
of financial statements for external purposes in accordance with generally
accepted accounting principles. A company's internal control over financial
reporting includes those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately and fairly
reflect the transactions and dispositions of the assets of the company;
(2) provide reasonable assurance that transactions are recorded as necessary
to permit preparation of financial statements in accordance with generally
accepted accounting principles, and that receipts and expenditures of the
company are being made only in accordance with authorizations of management
and directors of the company; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition, use, or
disposition of the company's assets that could have a material effect on the
financial statements.
Because of its inherent limitations, internal control over financial reporting
may not prevent or detect misstatements. Also, projections of any evaluation
of effectiveness to future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees, in
the normal course of performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial reporting,
such that there is a reasonable possibility that a material misstatement of
the Fund's annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Fund's internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Fund's internal control over financial reporting and its
operation, including controls over safeguarding securities that we consider
to be a material weakness as defined above as of November 30, 2021.
This report is intended solely for the information and use of management and
the Board of Trustees of MainStay Funds Trust and the Securities and Exchange
Commission and is not intended to be and should not be used by anyone other
than these specified parties.
/s/ KPMG LLP
Philadelphia, Pennsylvania
January 28, 2022