NEW YORK LIFE INVESTMENT MANAGEMENT LLC

https://www.nylinvestments.com/investmentsgroup NEW YORK, NY Investment Advisor How do I update this listing?

NEW York Life Investment Management is based out of New York. NEW York Life Investment Management is a large advisory firm with 1220 clients and discretionary assets under management (AUM) of $77,331,996,688 (Form ADV from 2019-03-28). Their last reported 13F filing for Q3 2019 included $860,667,000 in managed 13F securities and a top 10 holdings concentration of 97.34%. NEW York Life Investment Management's largest holding is IQ Chaikin US Large Cap ETF with shares held of 8,526,876. NEW York Life Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 81 13F filings, and 354 13G filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $860.667 Million
  • Prior Market Value $1.089 Billion
  • New Purchases0 stocks
  • Additional Purchases2 stocks
  • Sold out of1 stock
  • Reduced holdings in8 stocks
  • Top 10 Holdings % 97.34 %
  • Turnover % [1]:5.88%
  • Turnover Alt % [2]: 29.67 %
  • Time Held Top20:6.24 quarters
  • Time Held Top10:7.50 quarters
  • Time Held All:8.59 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.81%
Performance Last 4 Quarters: 7.12%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR/A (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR/A (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
51 MADISON AVENUE
NEW YORK NY    10010
Country: United States

Business Phone: 212-576-7000
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 328
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 1220
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.H (2)
Data above was derived from SEC filings.

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NEW YORK LIFE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 12/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
HUNG, YIE-HSIN, NMN ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
SETER, ARTHUR, HARUTYUN ELECTED MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-01-01
GOLDPOINT PARTNERS LLC MANAGER direct 2011-06-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2011-06-01
NYL INVESTORS LLC ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
NYL INVESTORS LLC MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER direct 2015-01-01
BOPP, KEVIN, MICHAEL CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
INDEXIQ ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
YOON, JAE SUNG CHIEF INVESTMENT OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2007-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2016-08-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-04-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HANLEY, DALE, ALEXANDER CHIEF RISK OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF RISK OFFICER direct 2015-10-01
Lehneis, Kirk, Christopher CHIEF OPERATING OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
SMITH, ALLEN, THOMAS MANAGING DIRECTOR/GENERAL COUNSEL 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAN KAMPEN MANAGEMENT INC. DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR, MANAGING DIRECTOR direct 1999-02-01
INVESTMENT COMPANY CAPITAL CORP. SECRETARY & CHIEF LEGAL OFFICER direct 2004-08-01
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, EXEC. VP, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-02-13
VAN KAMPEN ADVISORS INC DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-04-18
VAN KAMPEN INVESTMENT ADVISORY CORP DIR, EXEC VP, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-05-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR, GEN COUNSEL, SECRETARY direct 1999-02-01 2001-09-26
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR, GEN. COUNSEL, SECRETARY direct 1999-02-01 2001-12-05
VAN KAMPEN ADVISORS INC DIRECTOR direct 1999-02-01 2001-12-11
VAN KAMPEN INVESTMENT ADVISORY CORP DIRECTOR direct 1999-02-01 2001-12-18
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR direct 1999-02-01 2002-07-15
VAN KAMPEN ADVISORS INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
VAN KAMPEN ASSET MANAGEMENT INC DIRECTOR, MANAGING DIRECTOR direct 1999-02-01 2004-07-14
DB INVESTMENT MANAGERS, INC. CHIEF LEGAL OFFICER direct 2004-09-01 2006-10-12
HARTE, FRANCIS, MICHAEL CHIEF FINANCIAL OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MALLOY, ANTHONY, RAMSEY ELECTED MANAGER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 12/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-05-23
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 12/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
FISHER, STEPHEN, PAUL ELECTED MANAGER AND PRESIDENT 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CHIEF MARKETING OFFICER direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND PRESIDENT direct 2015-06-01
INDEXIQ ADVISORS LLC ELECTED MANAGER AND CHAIRMAN direct 2015-10-01
DOWIAK, ALLAN SENIOR MANAGING DIRECTOR, HEAD OF HUMAN RESOURCES 07/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, HEAD OF HUMAN RESOURCES direct 2005-07-01
SHIVELY, GEORGE, SYDNEY SENIOR MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT LLC SECRETARY AND EXECUTIVE OFFICER direct 2013-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER, SECRETARY OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC SECRETARY OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SR. MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY direct 2008-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY direct 2008-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SR. MANAGING DIRECTOR/GENERAL COUNSEL direct 2008-01-01
NYL INVESTORS LLC SR. MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY direct 2013-10-01
TIMCO ASSET MANAGEMENT, INC. SECRETARY direct 2005-06-01
HUNG, YIE-HSIN, NMN ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
FLEURANT, JOHN, THOMAS ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE 04/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL INVESTMENTS LLC EXEC. VP, CFO AND TREASURER direct 2004-03-01
PRUDENTIAL INVESTMENT MANAGEMENT, INC. VP, FINANCE direct 2004-03-01
GLOBAL PORTFOLIO STRATEGIES, INC. DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2004-12-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2013-01-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2013-01-01
AMERICAN SKANDIA INVESTMENT SERVICES, INC. DIRECTOR, EXEC. VP, CFO direct 2004-03-01
AST INVESTMENT SERVICES, INC. CONTROLLER direct 2010-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
NYLCAP MANAGER LLC MANAGER AND CHAIRMAN OF THE AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2013-01-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR AND MEMBER OF THE AUDIT AND COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. DIRECTOR direct 2014-02-01
DESIDERATO, DONALD, M SENIOR MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER 05/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER direct 2012-05-01
BEDARD, DAVID, GERALD ELECTED MANAGER, CHIEF FINANCIAL OFFICER 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2014-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2014-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2007-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2008-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER direct 2013-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHIEF FINANCIAL OFFICER direct 2013-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2013-10-01
GOLDPOINT PARTNERS LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2014-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MEMBER direct 2014-02-01
NYL INVESTORS LLC MANAGER AND CHAIRMAN OF AUDIT COMMITTEE direct 2014-01-01
NYL INVESTORS LLC ELECTED MANAGER AND CHAIRMAN OF AUDIT COMMITTEE direct 2014-01-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
SETER, ARTHUR, HARUTYUN ELECTED MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 1999-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-01-01
GOLDPOINT PARTNERS LLC MANAGER direct 2011-06-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2011-06-01
NYL INVESTORS LLC ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
NYL INVESTORS LLC MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT direct 2014-12-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER direct 2015-01-01
BLUNT, CHRISTOPHER, OWSLEY ELECTED MANAGER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CANDRIAM FRANCE S.A.S. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2015-12-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2015-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2015-06-01
NEW YORK LIFE INSURANCE CO. SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER OF LIFE AND ANNUITY direct 2007-09-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2015-06-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2004-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER direct 2015-06-01
EAGLE STRATEGIES LLC MANAGER direct 2007-06-01
EAGLE STRATEGIES CORP DIRECTOR direct 2007-06-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
EAGLE STRATEGIES LLC ELECTED MANAGER direct 2012-06-01
NEW YORK LIFE TRUST COMPANY, FSB CHAIRMAN direct 2004-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2015-06-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2015-06-01
NYL INVESTORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD direct 2015-05-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2015-12-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2015-12-01
BOPP, KEVIN, MICHAEL CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
INDEXIQ ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
YOON, JAE SUNG CHIEF INVESTMENT OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2007-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2016-08-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-04-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HANLEY, DALE, ALEXANDER CHIEF RISK OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEW YORK LIFE INVESTMENT MANAGEMENT LLC CHIEF RISK OFFICER direct 2015-10-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 12/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

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