Form D/A
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
NEW YORK LIFE INSURANCE CO
Jurisdiction of Incorporation/Organization
NEW YORK
Year of Incorporation/Organization
Over Five Years Ago
Previous Name(s)
- NAUTILUS INSURANCE COMPANY
Item 2 Issuer Principal Place of Business and Contact Information
51 MADISON AVE ROOM 207
ATTN: SECURITIES OPERATIONS
NEW YORK, NY 10010
Phone Number:
subscription required
Item 3. Related Persons
Name
THEODORE A. MATHAS
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER
Item 3. Related Persons
Name
MATTHEW M. GROVE
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CO-CHIEF OPERATING OFFICER
Item 3. Related Persons
Name
CRAIG L. DESANTO
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CO-CHIEF OPERATING OFFICER
Item 3. Related Persons
Name
SHEILA K. DAVIDSON
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER AND GENERAL COUNSEL
Item 3. Related Persons
Name
ERIC A. FELDSTEIN
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
MARK J. MADGETT
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND HEAD OF AGENCY
Item 3. Related Persons
Name
PATRICIA L. BARBARI
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND GENERAL AUDITOR
Item 3. Related Persons
Name
THOMAS A. HENDRY
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND TREASURER
Item 3. Related Persons
Name
ANTHONY R. MALLOY
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER
Item 3. Related Persons
Name
CARLA T. RUTIGLIANO
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT, HEAD OF HUMAN RESOURCES AND CORPORATE AFFAIRS
Item 3. Related Persons
Name
JOEL M. STEINBERG
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER
Item 3. Related Persons
Name
ROBERT M. GARDNER
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CONTROLLER
Item 3. Related Persons
Name
BETTY C. ALEWINE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MICHELE G. BUCK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ROBERT B. CARTER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RALPH DE LA VEGA
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARK L. FEIDLER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ROBERT F. FRIEL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CHRISTINA A. GOLD
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS C. SCHIEVELBEIN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
EDWARD D. SHIRLEY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GERALD B. SMITH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DONNA H. KINNAIRD
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ALAIN KARAOGLAN
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
DAVID CRUZ
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT IN CHARGE OF INSTITUTIONAL ANNUITIES
Item 3. Related Persons
Name
AMY MILLER
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL AND SECRETARY
Item 3. Related Persons
Name
ELIZABETH K. BRILL
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF ACTUARY
Item 4. Industry Group
INSURANCE
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
Amendment
Date of First Sale in this Offering:
07/19/2016
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
- Other: SYNTHETIC GIC GA-29300 TRP
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
1
Item 13. Offering and Sales Amounts
Total Offering Amount
INDEFINITE
Total Amount Sold
1158570670
Total Remaining to be Sold
INDEFINITE
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
1
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
NEW YORK LIFE INSURANCE CO
Issuer Signature
/S/ CYNTHIA H. CRISTELLO
Signer Name
CYNTHIA H. CRISTELLO
Signer Title
CORPORATE VICE PRESIDENT
Signature Date
02/12/2020