<SEC-DOCUMENT>0000907593-17-000001.txt : 20170313 <SEC-HEADER>0000907593-17-000001.hdr.sgml : 20170313 <ACCEPTANCE-DATETIME>20170313122557 ACCESSION NUMBER: 0000907593-17-000001 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20170313 DATE AS OF CHANGE: 20170313 EFFECTIVENESS DATE: 20170313 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK LIFE INSURANCE & ANNUITY CORP CENTRAL INDEX KEY: 0000907593 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-49767 FILM NUMBER: 17684535 BUSINESS ADDRESS: STREET 1: 51 MADISON AVE STREET 2: C/O NEW YORK LIFE INSURANCE CO CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 302-369-8500 MAIL ADDRESS: STREET 1: 200 CONTINENTAL DRIVE CITY: NEWARK STATE: DE ZIP: 19713 </SEC-HEADER> <DOCUMENT> <TYPE>D/A <SEQUENCE>1 <FILENAME>primary_doc.xml <TEXT> <XML> <?xml version="1.0"?> <edgarSubmission> <schemaVersion>X0707</schemaVersion> <submissionType>D/A</submissionType> <testOrLive>LIVE</testOrLive> <primaryIssuer> <cik>0000907593</cik> <entityName>NEW YORK LIFE INSURANCE & ANNUITY CORP</entityName> <issuerAddress> <street1>51 MADISON AVE</street1> <street2>C/O NEW YORK LIFE INSURANCE CO</street2> <city>NEW YORK</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </issuerAddress> <issuerPhoneNumber>212-576-7000</issuerPhoneNumber> <jurisdictionOfInc>DELAWARE</jurisdictionOfInc> <issuerPreviousNameList> <value>None</value> </issuerPreviousNameList> <edgarPreviousNameList> <value>None</value> </edgarPreviousNameList> <entityType>Corporation</entityType> <yearOfInc> <overFiveYears>true</overFiveYears> </yearOfInc> </primaryIssuer> <relatedPersonsList> <relatedPersonInfo> <relatedPersonName> <firstName>Theodore</firstName> <middleName>A.</middleName> <lastName>Mathas</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Christopher</firstName> <middleName>T.</middleName> <lastName>Ashe</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>David</firstName> <middleName>G.</middleName> <lastName>Bedard</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Christopher</firstName> <middleName>O.</middleName> <lastName>Blunt</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>John</firstName> <middleName>T.</middleName> <lastName>Fleurant</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Robert</firstName> <middleName>M.</middleName> <lastName>Gardner</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Matthew</firstName> <middleName>M.</middleName> <lastName>Grove</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Frank</firstName> <middleName>J.</middleName> <lastName>Harte</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Thomas</firstName> <middleName>A.</middleName> <lastName>Hendry</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Dylan</firstName> <middleName>W.</middleName> <lastName>Huang</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>John</firstName> <middleName>Y.</middleName> <lastName>Kim</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Mark</firstName> <middleName>J.</middleName> <lastName>Madgett</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Amy</firstName> <lastName>Miller</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Arthur</firstName> <middleName>H.</middleName> <lastName>Seter</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Joel</firstName> <middleName>M.</middleName> <lastName>Steinberg</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Matthew</firstName> <middleName>D.</middleName> <lastName>Wion</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Craig</firstName> <middleName>L.</middleName> <lastName>DeSanto</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Thomas</firstName> <middleName>F.</middleName> <lastName>English</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Robert</firstName> <middleName>J.</middleName> <lastName>Hebron</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>James</firstName> <middleName>J.</middleName> <lastName>Cristallo</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Janis</firstName> <middleName>C.</middleName> <lastName>Rubin</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>Barbara</firstName> <middleName>J.</middleName> <lastName>McInerney</lastName> </relatedPersonName> <relatedPersonAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> </relatedPersonRelationshipList> <relationshipClarification></relationshipClarification> </relatedPersonInfo> </relatedPersonsList> <offeringData> <industryGroup> <industryGroupType>Insurance</industryGroupType> </industryGroup> <issuerSize> <revenueRange>Over $100,000,000</revenueRange> </issuerSize> <federalExemptionsExclusions> <item>3C</item> <item>3C.1</item> <item>3C.7</item> </federalExemptionsExclusions> <typeOfFiling> <newOrAmendment> <isAmendment>true</isAmendment> <previousAccessionNumber>0000907593-16-000002</previousAccessionNumber> </newOrAmendment> <dateOfFirstSale> <value>2002-07-14</value> </dateOfFirstSale> </typeOfFiling> <durationOfOffering> <moreThanOneYear>true</moreThanOneYear> </durationOfOffering> <typesOfSecuritiesOffered> <isPooledInvestmentFundType>true</isPooledInvestmentFundType> <isOtherType>true</isOtherType> <descriptionOfOtherType>Variable Interests in Magnastar Private Placement Variable Universal Life Policies (Magnastar PPVUL)</descriptionOfOtherType> </typesOfSecuritiesOffered> <businessCombinationTransaction> <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction> <clarificationOfResponse></clarificationOfResponse> </businessCombinationTransaction> <minimumInvestmentAccepted>100000</minimumInvestmentAccepted> <salesCompensationList> <recipient> <recipientName>M Holdings Securities Inc.</recipientName> <recipientCRDNumber>43285</recipientCRDNumber> <associatedBDName>M Holdings Securities Inc.</associatedBDName> <associatedBDCRDNumber>43285</associatedBDCRDNumber> <recipientAddress> <street1>1125 N.W. Couch Street</street1> <street2>Suite 900</street2> <city>Portland</city> <stateOrCountry>OR</stateOrCountry> <stateOrCountryDescription>OREGON</stateOrCountryDescription> <zipCode>97202</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>NYLIFE Securities LLC</recipientName> <recipientCRDNumber>5167</recipientCRDNumber> <associatedBDName>NYLIFE Securities LLC</associatedBDName> <associatedBDCRDNumber>5167</associatedBDCRDNumber> <recipientAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Wachovia Insurance Services, Inc.</recipientName> <recipientCRDNumber>35419</recipientCRDNumber> <associatedBDName>Wachovia Insurance Services, Inc.</associatedBDName> <associatedBDCRDNumber>35419</associatedBDCRDNumber> <recipientAddress> <street1>227 W. Trade Street</street1> <street2>Suite 1550</street2> <city>Charlotte</city> <stateOrCountry>NC</stateOrCountry> <stateOrCountryDescription>NORTH CAROLINA</stateOrCountryDescription> <zipCode>28202</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>GA Financial, Inc.</recipientName> <recipientCRDNumber>42293</recipientCRDNumber> <associatedBDName>GA Financial, Inc.</associatedBDName> <associatedBDCRDNumber>42293</associatedBDCRDNumber> <recipientAddress> <street1>41 S. High Street</street1> <street2>Suite 3400</street2> <city>Columbus</city> <stateOrCountry>OH</stateOrCountry> <stateOrCountryDescription>OHIO</stateOrCountryDescription> <zipCode>43215</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AK</state> <description>ALASKA</description> <state>AZ</state> <description>ARIZONA</description> <state>CA</state> <description>CALIFORNIA</description> <state>CO</state> <description>COLORADO</description> <state>FL</state> <description>FLORIDA</description> <state>GA</state> <description>GEORGIA</description> <state>IL</state> <description>ILLINOIS</description> <state>IN</state> <description>INDIANA</description> <state>KS</state> <description>KANSAS</description> <state>MA</state> <description>MASSACHUSETTS</description> <state>MI</state> <description>MICHIGAN</description> <state>MN</state> <description>MINNESOTA</description> <state>NJ</state> <description>NEW JERSEY</description> <state>NY</state> <description>NEW YORK</description> <state>NC</state> <description>NORTH CAROLINA</description> <state>OH</state> <description>OHIO</description> <state>PA</state> <description>PENNSYLVANIA</description> <state>SC</state> <description>SOUTH CAROLINA</description> <state>VA</state> <description>VIRGINIA</description> <state>WA</state> <description>WASHINGTON</description> <state>WV</state> <description>WEST VIRGINIA</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>NYLINK Insurance Agency Incorporated</recipientName> <recipientCRDNumber>None</recipientCRDNumber> <associatedBDName>NYLIFE Securities, LLC</associatedBDName> <associatedBDCRDNumber>5167</associatedBDCRDNumber> <recipientAddress> <street1>51 Madison Avenue</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10010</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Royal Alliance Associates</recipientName> <recipientCRDNumber>23131</recipientCRDNumber> <associatedBDName>Royal alliance Associates</associatedBDName> <associatedBDCRDNumber>23131</associatedBDCRDNumber> <recipientAddress> <street1>One World Financial Center</street1> <street2>15th Floor</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10281</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>American Portfolios Financial Services</recipientName> <recipientCRDNumber>18487</recipientCRDNumber> <associatedBDName>American Portfolios Financial Services</associatedBDName> <associatedBDCRDNumber>18487</associatedBDCRDNumber> <recipientAddress> <street1>4250 Veterans Memorial Highway</street1> <street2>4th Floor East</street2> <city>Holbrook</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>11741</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>New Investors World, Inc.</recipientName> <recipientCRDNumber>109356</recipientCRDNumber> <associatedBDName>New Investors World, Inc.</associatedBDName> <associatedBDCRDNumber>109356</associatedBDCRDNumber> <recipientAddress> <street1>6210 Campbell Road</street1> <street2>Suite 128</street2> <city>Dallas</city> <stateOrCountry>TX</stateOrCountry> <stateOrCountryDescription>TEXAS</stateOrCountryDescription> <zipCode>75248</zipCode> </recipientAddress> <statesOfSolicitationList> <state>TX</state> <description>TEXAS</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>NFP Securities, Inc.</recipientName> <recipientCRDNumber>42046</recipientCRDNumber> <associatedBDName>NFP Securities, Inc.</associatedBDName> <associatedBDCRDNumber>42046</associatedBDCRDNumber> <recipientAddress> <street1>1250 Capital of Texas Hwy</street1> <street2>S#2-125</street2> <city>Austin</city> <stateOrCountry>TX</stateOrCountry> <stateOrCountryDescription>TEXAS</stateOrCountryDescription> <zipCode>78746</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Stern Capital LLC</recipientName> <recipientCRDNumber>131226</recipientCRDNumber> <associatedBDName>Stern Capital LLC</associatedBDName> <associatedBDCRDNumber>131226</associatedBDCRDNumber> <recipientAddress> <street1>708 Third Avenue</street1> <street2>Suite 1610</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10017</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AK</state> <description>ALASKA</description> <state>CA</state> <description>CALIFORNIA</description> <state>CT</state> <description>CONNECTICUT</description> <state>DE</state> <description>DELAWARE</description> <state>DC</state> <description>DISTRICT OF COLUMBIA</description> <state>FL</state> <description>FLORIDA</description> <state>MA</state> <description>MASSACHUSETTS</description> <state>NJ</state> <description>NEW JERSEY</description> <state>NY</state> <description>NEW YORK</description> <state>RI</state> <description>RHODE ISLAND</description> <state>SD</state> <description>SOUTH DAKOTA</description> <state>WY</state> <description>WYOMING</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>First Montauk Securities Corp.</recipientName> <recipientCRDNumber>13755</recipientCRDNumber> <associatedBDName>First Montauk Securities Corp.</associatedBDName> <associatedBDCRDNumber>13755</associatedBDCRDNumber> <recipientAddress> <street1>328 NewmanSprings Road</street1> <city>Red Bank</city> <stateOrCountry>NJ</stateOrCountry> <stateOrCountryDescription>NEW JERSEY</stateOrCountryDescription> <zipCode>07701</zipCode> </recipientAddress> <statesOfSolicitationList> <state>LA</state> <description>LOUISIANA</description> <state>NJ</state> <description>NEW JERSEY</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>MAG Financial Inc.</recipientName> <recipientCRDNumber>36327</recipientCRDNumber> <associatedBDName>MAG Financial Inc.</associatedBDName> <associatedBDCRDNumber>36327</associatedBDCRDNumber> <recipientAddress> <street1>2005 Market Street</street1> <street2>7th Floor</street2> <city>Philadelphia</city> <stateOrCountry>PA</stateOrCountry> <stateOrCountryDescription>PENNSYLVANIA</stateOrCountryDescription> <zipCode>19103</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AK</state> <description>ALASKA</description> <state>CA</state> <description>CALIFORNIA</description> <state>CO</state> <description>COLORADO</description> <state>DC</state> <description>DISTRICT OF COLUMBIA</description> <state>FL</state> <description>FLORIDA</description> <state>LA</state> <description>LOUISIANA</description> <state>MD</state> <description>MARYLAND</description> <state>NJ</state> <description>NEW JERSEY</description> <state>PA</state> <description>PENNSYLVANIA</description> <state>VA</state> <description>VIRGINIA</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Manor House Capital, LLC</recipientName> <recipientCRDNumber>140863</recipientCRDNumber> <associatedBDName>Manor House Capital, LLC</associatedBDName> <associatedBDCRDNumber>140863</associatedBDCRDNumber> <recipientAddress> <street1>2005 Market Street</street1> <street2>7th Floor</street2> <city>Philadelphia</city> <stateOrCountry>PA</stateOrCountry> <stateOrCountryDescription>PENNSYLVANIA</stateOrCountryDescription> <zipCode>19103</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AK</state> <description>ALASKA</description> <state>CA</state> <description>CALIFORNIA</description> <state>CO</state> <description>COLORADO</description> <state>CT</state> <description>CONNECTICUT</description> <state>DE</state> <description>DELAWARE</description> <state>DC</state> <description>DISTRICT OF COLUMBIA</description> <state>FL</state> <description>FLORIDA</description> <state>IL</state> <description>ILLINOIS</description> <state>MD</state> <description>MARYLAND</description> <state>MA</state> <description>MASSACHUSETTS</description> <state>NV</state> <description>NEVADA</description> <state>NJ</state> <description>NEW JERSEY</description> <state>NY</state> <description>NEW YORK</description> <state>PA</state> <description>PENNSYLVANIA</description> <state>SD</state> <description>SOUTH DAKOTA</description> <state>TX</state> <description>TEXAS</description> <state>UT</state> <description>UTAH</description> <state>WI</state> <description>WISCONSIN</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Lincoln Financial Advisors Corp.</recipientName> <recipientCRDNumber>3978</recipientCRDNumber> <associatedBDName>Lincoln Financial Advisors Corp.</associatedBDName> <associatedBDCRDNumber>3978</associatedBDCRDNumber> <recipientAddress> <street1>1300 South Clinton Street</street1> <street2>Suite 150</street2> <city>Fort Wayne</city> <stateOrCountry>IN</stateOrCountry> <stateOrCountryDescription>INDIANA</stateOrCountryDescription> <zipCode>46802</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>MML Investors Services, Inc.</recipientName> <recipientCRDNumber>10409</recipientCRDNumber> <associatedBDName>MML Investors Services, Inc.</associatedBDName> <associatedBDCRDNumber>10409</associatedBDCRDNumber> <recipientAddress> <street1>1295 State Street</street1> <city>Springfield</city> <stateOrCountry>MA</stateOrCountry> <stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription> <zipCode>01111</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Deutsche Bank Securities Inc.</recipientName> <recipientCRDNumber>2525</recipientCRDNumber> <associatedBDName>Deutsche Bank Securities Inc.</associatedBDName> <associatedBDCRDNumber>2525</associatedBDCRDNumber> <recipientAddress> <street1>60 Wall Street</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10005</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Ross Securities Corporation</recipientName> <recipientCRDNumber>113796</recipientCRDNumber> <associatedBDName>Ross Securities Corporation</associatedBDName> <associatedBDCRDNumber>113796</associatedBDCRDNumber> <recipientAddress> <street1>1270 Avenue of the Americas</street1> <street2>20th Floor</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10020</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AK</state> <description>ALASKA</description> <state>CT</state> <description>CONNECTICUT</description> <state>FL</state> <description>FLORIDA</description> <state>NJ</state> <description>NEW JERSEY</description> <state>NY</state> <description>NEW YORK</description> <state>PA</state> <description>PENNSYLVANIA</description> <state>SD</state> <description>SOUTH DAKOTA</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Park Avenue Securities LLC</recipientName> <recipientCRDNumber>46173</recipientCRDNumber> <associatedBDName>Park Avenue Securities LLC</associatedBDName> <associatedBDCRDNumber>46173</associatedBDCRDNumber> <recipientAddress> <street1>7 Hanover Square</street1> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10004</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Wealth Preservation Associates LLC</recipientName> <recipientCRDNumber>35277</recipientCRDNumber> <associatedBDName>Wealth Preservation Associates LLC</associatedBDName> <associatedBDCRDNumber>35277</associatedBDCRDNumber> <recipientAddress> <street1>521 Fifth Avenue</street1> <street2>17th Floor</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10175</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>First Liberties Financial</recipientName> <recipientCRDNumber>14432</recipientCRDNumber> <associatedBDName>First Liberties Financial</associatedBDName> <associatedBDCRDNumber>14432</associatedBDCRDNumber> <recipientAddress> <street1>369 Lexington Avenue</street1> <street2>Suite 311</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10017</zipCode> </recipientAddress> <statesOfSolicitationList> <state>AL</state> <description>ALABAMA</description> <state>AK</state> <description>ALASKA</description> <state>AZ</state> <description>ARIZONA</description> <state>AR</state> <description>ARKANSAS</description> <state>CA</state> <description>CALIFORNIA</description> <state>CO</state> <description>COLORADO</description> <state>CT</state> <description>CONNECTICUT</description> <state>DE</state> <description>DELAWARE</description> <state>DC</state> <description>DISTRICT OF COLUMBIA</description> <state>FL</state> <description>FLORIDA</description> <state>GA</state> <description>GEORGIA</description> <state>IL</state> <description>ILLINOIS</description> <state>IN</state> <description>INDIANA</description> <state>IA</state> <description>IOWA</description> <state>KY</state> <description>KENTUCKY</description> <state>MD</state> <description>MARYLAND</description> <state>MA</state> <description>MASSACHUSETTS</description> <state>MI</state> <description>MICHIGAN</description> <state>MN</state> <description>MINNESOTA</description> <state>MO</state> <description>MISSOURI</description> <state>MT</state> <description>MONTANA</description> <state>NE</state> <description>NEBRASKA</description> <state>NV</state> <description>NEVADA</description> <state>NJ</state> <description>NEW JERSEY</description> <state>NY</state> <description>NEW YORK</description> <state>NC</state> <description>NORTH CAROLINA</description> <state>ND</state> <description>NORTH DAKOTA</description> <state>OH</state> <description>OHIO</description> <state>OK</state> <description>OKLAHOMA</description> <state>OR</state> <description>OREGON</description> <state>PA</state> <description>PENNSYLVANIA</description> <state>RI</state> <description>RHODE ISLAND</description> <state>SC</state> <description>SOUTH CAROLINA</description> <state>SD</state> <description>SOUTH DAKOTA</description> <state>TX</state> <description>TEXAS</description> <state>UT</state> <description>UTAH</description> <state>VA</state> <description>VIRGINIA</description> <state>WA</state> <description>WASHINGTON</description> <state>WV</state> <description>WEST VIRGINIA</description> <state>WI</state> <description>WISCONSIN</description> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Oglivie Security Advisors Corporation</recipientName> <recipientCRDNumber>10105</recipientCRDNumber> <associatedBDName>Oglivie Security Advisors Corporation</associatedBDName> <associatedBDCRDNumber>10105</associatedBDCRDNumber> <recipientAddress> <street1>71 S Wacker</street1> <street2>Suite 3025</street2> <city>Chicago</city> <stateOrCountry>IL</stateOrCountry> <stateOrCountryDescription>ILLINOIS</stateOrCountryDescription> <zipCode>60606</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>World Equity Group, Inc.</recipientName> <recipientCRDNumber>29087</recipientCRDNumber> <associatedBDName>World Equity Group, Inc.</associatedBDName> <associatedBDCRDNumber>29087</associatedBDCRDNumber> <recipientAddress> <street1>1650 N. Arlington Heights Rd</street1> <street2>Suite 100</street2> <city>Arlington Heights</city> <stateOrCountry>IL</stateOrCountry> <stateOrCountryDescription>ILLINOIS</stateOrCountryDescription> <zipCode>60004-3984</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>LPL Financial LLC</recipientName> <recipientCRDNumber>6413</recipientCRDNumber> <associatedBDName>LPL Financial LLC</associatedBDName> <associatedBDCRDNumber>6413</associatedBDCRDNumber> <recipientAddress> <street1>1250 Capital of TX Hwy</street1> <street2>Suite 125, Bldg 2</street2> <city>Austin</city> <stateOrCountry>TX</stateOrCountry> <stateOrCountryDescription>TEXAS</stateOrCountryDescription> <zipCode>78746-6395</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> <recipient> <recipientName>Lion Street Financial</recipientName> <recipientCRDNumber>165828</recipientCRDNumber> <associatedBDName>Lion Street Financial</associatedBDName> <associatedBDCRDNumber>165828</associatedBDCRDNumber> <recipientAddress> <street1>515 Congress Avenue</street1> <street2>Suite 2500</street2> <city>Austin</city> <stateOrCountry>TX</stateOrCountry> <stateOrCountryDescription>TEXAS</stateOrCountryDescription> <zipCode>78701-3509</zipCode> </recipientAddress> <statesOfSolicitationList> <value>All States</value> </statesOfSolicitationList> <foreignSolicitation>false</foreignSolicitation> </recipient> </salesCompensationList> <offeringSalesAmounts> <totalOfferingAmount>Indefinite</totalOfferingAmount> <totalAmountSold>110445801</totalAmountSold> <totalRemaining>Indefinite</totalRemaining> <clarificationOfResponse></clarificationOfResponse> </offeringSalesAmounts> <investors> <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors> <totalNumberAlreadyInvested>83</totalNumberAlreadyInvested> </investors> <salesCommissionsFindersFees> <salesCommissions> <dollarAmount>5456961</dollarAmount> </salesCommissions> <findersFees> <dollarAmount>0</dollarAmount> </findersFees> <clarificationOfResponse></clarificationOfResponse> </salesCommissionsFindersFees> <useOfProceeds> <grossProceedsUsed> <dollarAmount>0</dollarAmount> </grossProceedsUsed> <clarificationOfResponse></clarificationOfResponse> </useOfProceeds> <signatureBlock> <authorizedRepresentative>false</authorizedRepresentative> <signature> <issuerName>NEW YORK LIFE INSURANCE & ANNUITY CORP</issuerName> <signatureName>Janis C. Rubin</signatureName> <nameOfSigner>Janis C. Rubin</nameOfSigner> <signatureTitle>Vice President</signatureTitle> <signatureDate>2017-03-10</signatureDate> </signature> </signatureBlock> </offeringData> </edgarSubmission> </XML> </TEXT> </DOCUMENT> </SEC-DOCUMENT>