# EDGAR Filing Document

**Accession Number:** 0001469192
**File Stem:** 0001752724-23-001923
**Filing Date:** 2023-1
**Character Count:** 733654
**Document Hash:** 9c4885ec897e166430a99d69387544a8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-001923.hdr.sgml**: 20230113

**ACCESSION NUMBER**: 0001752724-23-001923

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221031

**FILED AS OF DATE**: 20230113

**DATE AS OF CHANGE**: 20230113

**EFFECTIVENESS DATE**: 20230113

**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:** 23528447

**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

## Series and Classes Contracts Data

### MainStay Epoch U.S. Equity Yield Fund (Series ID: S000026784)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000080506 | Investor Class | EPLIX           |
| C000080507 | Class A        | EPLPX           |
| C000080508 | Class C        | EPLKX           |
| C000080509 | Class I        | EPLCX           |
| C000180191 | Class B        | EPLBX           |
| C000180192 | Class R1       | EPLRX           |
| C000180193 | Class R2       | EPLSX           |
| C000180194 | Class R3       | EPLTX           |
| C000180195 | Class R6       | EPLDX           |
| C000221654 | SIMPLE Class   | EPLMX           |

### MainStay Epoch Global Equity Yield Fund (Series ID: S000026786)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000080514 | Class A        | EPSPX           |
| C000080515 | Class C        | EPSKX           |
| C000080516 | Class I        | EPSYX           |
| C000080517 | Investor Class | EPSIX           |
| C000127145 | Class R6       | EPSRX           |
| C000138227 | Class R2       | EPSZX           |
| C000166838 | Class R3       | EPSHX           |

### MainStay MacKay High Yield Municipal Bond Fund (Series ID: S000028227)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000086335 | Investor Class | MMHVX           |
| C000086336 | Class A        | MMHAX           |
| C000086337 | Class C        | MMHDX           |
| C000086338 | Class I        | MMHIX           |
| C000185918 | Class R6       | MMHEX           |

### MainStay Epoch International Choice Fund (Series ID: S000028522)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087295 | Investor Class | ICELX           |
| C000087296 | Class A        | ICEVX           |
| C000087297 | Class C        | ICEWX           |
| C000087298 | Class I        | ICEUX           |
| C000087299 | Class R1       | ICETX           |
| C000087300 | Class R2       | ICEYX           |
| C000087301 | Class R3       | ICEZX           |
| C000221657 | SIMPLE Class   | ICERX           |

### MainStay S&P 500 Index Fund (Series ID: S000028525)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087312 | Investor Class | MYSPX           |
| C000087313 | Class A        | MSXAX           |
| C000087314 | Class I        | MSPIX           |
| C000221659 | SIMPLE Class   | MSXMX           |

### MainStay Floating Rate Fund (Series ID: S000028529)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087333 | Investor Class | MXFNX           |
| C000087334 | Class A        | MXFAX           |
| C000087335 | Class B        | MXFBX           |
| C000087336 | Class C        | MXFCX           |
| C000087337 | Class I        | MXFIX           |
| C000166839 | Class R3       | MXFHX           |
| C000185929 | Class R6       | MXFEX           |
| C000221660 | SIMPLE Class   | MXFMX           |

### MainStay Conservative Allocation Fund (Series ID: S000028532)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087350 | Investor Class | MCKNX           |
| C000087351 | Class A        | MCKAX           |
| C000087352 | Class B        | MCKBX           |
| C000087353 | Class C        | MCKCX           |
| C000087354 | Class I        | MCKIX           |
| C000166840 | Class R3       | MCKRX           |
| C000210249 | Class R2       | MCKKX           |
| C000221661 | SIMPLE Class   | MCKSX           |

### MainStay Moderate Allocation Fund (Series ID: S000028533)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087355 | Investor Class | MMRDX           |
| C000087356 | Class A        | MMRAX           |
| C000087357 | Class B        | MMRBX           |
| C000087358 | Class C        | MMRCX           |
| C000087359 | Class I        | MMRIX           |
| C000166841 | Class R3       | MMRHX           |
| C000210251 | Class R2       | MMRKX           |
| C000221662 | SIMPLE Class   | MMRSX           |

### MainStay Growth Allocation Fund (Series ID: S000028534)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087360 | Investor Class | MGDNX           |
| C000087361 | Class A        | MGDAX           |
| C000087362 | Class B        | MGDBX           |
| C000087363 | Class C        | MGDCX           |
| C000087364 | Class I        | MGDIX           |
| C000166842 | Class R3       | MGDRX           |
| C000210253 | Class R2       | MGDKX           |
| C000210254 | Class R1       | MGDJX           |
| C000221663 | SIMPLE Class   | MGDSX           |

### MainStay Equity Allocation Fund (Series ID: S000028535)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087365 | Investor Class | MGXNX           |
| C000087366 | Class A        | MGXAX           |
| C000087367 | Class B        | MGXBX           |
| C000087368 | Class C        | MGXCX           |
| C000087369 | Class I        | MGXIX           |
| C000166843 | Class R3       | MGXRX           |
| C000221664 | SIMPLE Class   | MGXSX           |

### MainStay Short Term Bond Fund (Series ID: S000028536)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087370 | Class I        | MIXIX           |
| C000087371 | Investor Class | MIXNX           |
| C000087372 | Class A        | MIXAX           |
| C000221665 | SIMPLE Class   | MIXMX           |

### MainStay MacKay Total Return Bond Fund (Series ID: S000028537)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087373 | Investor Class | MTMNX           |
| C000087374 | Class A        | MTMAX           |
| C000087375 | Class B        | MTMBX           |
| C000087376 | Class C        | MTMCX           |
| C000087377 | Class I        | MTMIX           |
| C000116270 | Class R1       | MTMRX           |
| C000116271 | Class R2       | MTRTX           |
| C000127150 | Class R6       | MTRDX           |
| C000166844 | Class R3       | MTRVX           |
| C000221666 | SIMPLE Class   | MTMSX           |

### MainStay WMC International Research Equity Fund (Series ID: S000028542)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000087393 | Investor Class | MYINX           |
| C000087394 | Class A        | MYITX           |
| C000087395 | Class C        | MYICX           |
| C000087396 | Class I        | MYIIX           |

### MainStay Balanced Fund (Series ID: S000036714)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000112258 | Class A        | MBNAX           |
| C000112259 | Class B        | MBNBX           |
| C000112260 | Class C        | MBACX           |
| C000112261 | Class I        | MBAIX           |
| C000112262 | Class R1       | MBNRX           |
| C000112263 | Class R2       | MBCRX           |
| C000112264 | Class R3       | MBDRX           |
| C000112265 | Investor Class | MBINX           |
| C000185940 | Class R6       | MBERX           |

### MainStay WMC Small Companies Fund (Series ID: S000036715)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000112266 | Class B        | MOTBX           |
| C000112267 | Class C        | MOPCX           |
| C000112268 | Class I        | MOPIX           |
| C000112269 | Investor Class | MOINX           |
| C000112270 | Class A        | MOPAX           |
| C000118993 | Class R1       | MOPRX           |
| C000118994 | Class R2       | MOTRX           |
| C000166845 | Class R3       | MOVRX           |

### MainStay MacKay New York Tax Free Opportunities Fund (Series ID: S000036992)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000113210 | Class A        | MNOAX           |
| C000113211 | Class C        | MNOCX           |
| C000113212 | Class I        | MNOIX           |
| C000113213 | Investor Class | MNOVX           |
| C000185944 | Class R6       | MNODX           |
| C000221672 | Class C2       | MNOLX           |

### MainStay MacKay Short Duration High Yield Fund (Series ID: S000039301)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000121097 | Class A        | MDHAX           |
| C000121098 | Class C        | MDHCX           |
| C000121099 | Class I        | MDHIX           |
| C000121100 | Class R2       | MDHRX           |
| C000121101 | Investor Class | MDHVX           |
| C000166846 | Class R3       | MDHTX           |

### MainStay WMC Growth Fund (Series ID: S000039358)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000121293 | Class A        | KLGAX           |
| C000121294 | Class B        | KLGBX           |
| C000121295 | Class C        | KLGCX           |
| C000121296 | Class I        | KLGIX           |
| C000121297 | Class R2       | KLGRX           |
| C000121298 | Investor Class | KLGNX           |
| C000185948 | Class R6       | KLGDX           |

### MainStay MacKay California Tax Free Opportunities Fund (Series ID: S000039903)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000123763 | Class A        | MSCAX           |
| C000123764 | Class C        | MSCCX           |
| C000123765 | Class I        | MCOIX           |
| C000123766 | Investor Class | MSCVX           |
| C000185950 | Class R6       | MSODX           |
| C000221676 | Class C2       | MCAMX           |

### MainStay Epoch Capital Growth Fund (Series ID: S000054257)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000170407 | Class A        | MECDX           |
| C000170408 | Class C        | MECEX           |
| C000170409 | Class I        | MECFX           |
| C000170410 | Investor Class | MECVX           |

### MainStay Candriam Emerging Markets Equity Fund (Series ID: S000059215)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000194050 | Class A        | MCYAX           |
| C000194051 | Class C        | MCYCX           |
| C000194052 | Class I        | MCYIX           |
| C000194053 | Class R6       | MCYSX           |
| C000194055 | Investor Class | MCYVX           |

### MainStay U.S. Government Liquidity Fund (Series ID: S000063122)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000204698 | Class I      | MUSXX           |

## Internal

```

Report of Independent Registered Public Accounting Firm

To the Shareholders of the Funds and Board
of Trustees of MainStay Funds Trust:

In planning and performing our audits of the financial statements of MainStay
Balanced Fund, MainStay MacKay California Tax Free Opportunities Fund,
MainStay Conservative Allocation Fund, MainStay WMC Growth Fund, MainStay
Epoch Capital Growth Fund, MainStay Epoch Global Equity Yield Fund, MainStay
Epoch International Choice Fund, MainStay Epoch U.S. Equity Yield Fund,
MainStay WMC Small Companies Fund, MainStay Floating Rate Fund, MainStay
Growth Allocation Fund, MainStay MacKay High Yield Municipal Bond Fund,
MainStay Short Term Bond Fund, MainStay WMC International Research Equity
Fund, MainStay Moderate Allocation Fund, MainStay Equity Allocation Fund,
MainStay MacKay New York Tax Free Opportunities Fund, MainStay S&P 500 Index
Fund, MainStay MacKay Short Duration High Yield Fund, MainStay MacKay Total
Return Bond Fund, MainStay Candriam Emerging Markets Equity Fund, and MainStay
U.S. Government Liquidity Fund, twenty-two of the funds comprising MainStay
Funds Trust (the Funds) as of and for the year ended October 31, 2022, in
accordance with the standards of the Public Company Accounting Oversight Board
(United States), we considered the Funds' 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
Funds' internal control over financial reporting. Accordingly, we express no
such opinion.

Management of the Funds 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 company's annual or interim financial statements will not be prevented or
detected on a timely basis.

Our consideration of the Funds' 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 Funds' 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 October 31, 2022.

This report is intended solely for the information and use of the 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
December 23, 2022

```

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0001469192

## N-CEN: Series/Class (Contract) Information

**Series ID Record:1**
- **Series ID:** S000059215

**Series ID Record:2**
- **Series ID:** S000039903

**Series ID Record:3**
- **Series ID:** S000028535

**Series ID Record:4**
- **Series ID:** S000028537

**Series ID Record:5**
- **Series ID:** S000054257

**Series ID Record:6**
- **Series ID:** S000028227

**Series ID Record:7**
- **Series ID:** S000028533

**Series ID Record:8**
- **Series ID:** S000028529

**Series ID Record:9**
- **Series ID:** S000063122

**Series ID Record:10**
- **Series ID:** S000028532

**Series ID Record:11**
- **Series ID:** S000036715

**Series ID Record:12**
- **Series ID:** S000028542

**Series ID Record:13**
- **Series ID:** S000039358

**Series ID Record:14**
- **Series ID:** S000028525

**Series ID Record:15**
- **Series ID:** S000028536

**Series ID Record:16**
- **Series ID:** S000028522

**Series ID Record:17**
- **Series ID:** S000026784

**Series ID Record:18**
- **Series ID:** S000036714

**Series ID Record:19**
- **Series ID:** S000028534

**Series ID Record:20**
- **Series ID:** S000026786

**Series ID Record:21**
- **Series ID:** S000036992

**Series ID Record:22**
- **Series ID:** S000039301

**Class ID Record:1**
- **Class ID:** C000194050

**Class ID Record:2**
- **Class ID:** C000194053

**Class ID Record:3**
- **Class ID:** C000194055

**Class ID Record:4**
- **Class ID:** C000194052

**Class ID Record:5**
- **Class ID:** C000194051

**Class ID Record:6**
- **Class ID:** C000185950

**Class ID Record:7**
- **Class ID:** C000221676

**Class ID Record:8**
- **Class ID:** C000123765

**Class ID Record:9**
- **Class ID:** C000123766

**Class ID Record:10**
- **Class ID:** C000123764

**Class ID Record:11**
- **Class ID:** C000123763

**Class ID Record:12**
- **Class ID:** C000087365

**Class ID Record:13**
- **Class ID:** C000087367

**Class ID Record:14**
- **Class ID:** C000087369

**Class ID Record:15**
- **Class ID:** C000166843

**Class ID Record:16**
- **Class ID:** C000221664

**Class ID Record:17**
- **Class ID:** C000087368

**Class ID Record:18**
- **Class ID:** C000087366

**Class ID Record:19**
- **Class ID:** C000087373

**Class ID Record:20**
- **Class ID:** C000166844

**Class ID Record:21**
- **Class ID:** C000087377

**Class ID Record:22**
- **Class ID:** C000116270

**Class ID Record:23**
- **Class ID:** C000087375

**Class ID Record:24**
- **Class ID:** C000221666

**Class ID Record:25**
- **Class ID:** C000116271

**Class ID Record:26**
- **Class ID:** C000087376

**Class ID Record:27**
- **Class ID:** C000127150

**Class ID Record:28**
- **Class ID:** C000087374

**Class ID Record:29**
- **Class ID:** C000170407

**Class ID Record:30**
- **Class ID:** C000170408

**Class ID Record:31**
- **Class ID:** C000170409

**Class ID Record:32**
- **Class ID:** C000170410

**Class ID Record:33**
- **Class ID:** C000086335

**Class ID Record:34**
- **Class ID:** C000086337

**Class ID Record:35**
- **Class ID:** C000185918

**Class ID Record:36**
- **Class ID:** C000086338

**Class ID Record:37**
- **Class ID:** C000086336

**Class ID Record:38**
- **Class ID:** C000166841

**Class ID Record:39**
- **Class ID:** C000221662

**Class ID Record:40**
- **Class ID:** C000087357

**Class ID Record:41**
- **Class ID:** C000210251

**Class ID Record:42**
- **Class ID:** C000087356

**Class ID Record:43**
- **Class ID:** C000087355

**Class ID Record:44**
- **Class ID:** C000087359

**Class ID Record:45**
- **Class ID:** C000087358

**Class ID Record:46**
- **Class ID:** C000087335

**Class ID Record:47**
- **Class ID:** C000166839

**Class ID Record:48**
- **Class ID:** C000087334

**Class ID Record:49**
- **Class ID:** C000087336

**Class ID Record:50**
- **Class ID:** C000221660

**Class ID Record:51**
- **Class ID:** C000185929

**Class ID Record:52**
- **Class ID:** C000087337

**Class ID Record:53**
- **Class ID:** C000087333

**Class ID Record:54**
- **Class ID:** C000204698

**Class ID Record:55**
- **Class ID:** C000087352

**Class ID Record:56**
- **Class ID:** C000166840

**Class ID Record:57**
- **Class ID:** C000210249

**Class ID Record:58**
- **Class ID:** C000087350

**Class ID Record:59**
- **Class ID:** C000087354

**Class ID Record:60**
- **Class ID:** C000221661

**Class ID Record:61**
- **Class ID:** C000087351

**Class ID Record:62**
- **Class ID:** C000087353

**Class ID Record:63**
- **Class ID:** C000112266

**Class ID Record:64**
- **Class ID:** C000112270

**Class ID Record:65**
- **Class ID:** C000112267

**Class ID Record:66**
- **Class ID:** C000166845

**Class ID Record:67**
- **Class ID:** C000112268

**Class ID Record:68**
- **Class ID:** C000118993

**Class ID Record:69**
- **Class ID:** C000118994

**Class ID Record:70**
- **Class ID:** C000112269

**Class ID Record:71**
- **Class ID:** C000087394

**Class ID Record:72**
- **Class ID:** C000087396

**Class ID Record:73**
- **Class ID:** C000087393

**Class ID Record:74**
- **Class ID:** C000087395

**Class ID Record:75**
- **Class ID:** C000121297

**Class ID Record:76**
- **Class ID:** C000121298

**Class ID Record:77**
- **Class ID:** C000121294

**Class ID Record:78**
- **Class ID:** C000185948

**Class ID Record:79**
- **Class ID:** C000121295

**Class ID Record:80**
- **Class ID:** C000121293

**Class ID Record:81**
- **Class ID:** C000121296

**Class ID Record:82**
- **Class ID:** C000221659

**Class ID Record:83**
- **Class ID:** C000087312

**Class ID Record:84**
- **Class ID:** C000087313

**Class ID Record:85**
- **Class ID:** C000087314

**Class ID Record:86**
- **Class ID:** C000087370

**Class ID Record:87**
- **Class ID:** C000087371

**Class ID Record:88**
- **Class ID:** C000087372

**Class ID Record:89**
- **Class ID:** C000221665

**Class ID Record:90**
- **Class ID:** C000087295

**Class ID Record:91**
- **Class ID:** C000087300

**Class ID Record:92**
- **Class ID:** C000087297

**Class ID Record:93**
- **Class ID:** C000087301

**Class ID Record:94**
- **Class ID:** C000221657

**Class ID Record:95**
- **Class ID:** C000087296

**Class ID Record:96**
- **Class ID:** C000087298

**Class ID Record:97**
- **Class ID:** C000087299

**Class ID Record:98**
- **Class ID:** C000180191

**Class ID Record:99**
- **Class ID:** C000180192

**Class ID Record:100**
- **Class ID:** C000080509

**Class ID Record:101**
- **Class ID:** C000080506

**Class ID Record:102**
- **Class ID:** C000080507

**Class ID Record:103**
- **Class ID:** C000180193

**Class ID Record:104**
- **Class ID:** C000221654

**Class ID Record:105**
- **Class ID:** C000180194

**Class ID Record:106**
- **Class ID:** C000180195

**Class ID Record:107**
- **Class ID:** C000080508

**Class ID Record:108**
- **Class ID:** C000112259

**Class ID Record:109**
- **Class ID:** C000112258

**Class ID Record:110**
- **Class ID:** C000112262

**Class ID Record:111**
- **Class ID:** C000112264

**Class ID Record:112**
- **Class ID:** C000112261

**Class ID Record:113**
- **Class ID:** C000185940

**Class ID Record:114**
- **Class ID:** C000112260

**Class ID Record:115**
- **Class ID:** C000112263

**Class ID Record:116**
- **Class ID:** C000112265

**Class ID Record:117**
- **Class ID:** C000210254

**Class ID Record:118**
- **Class ID:** C000087360

**Class ID Record:119**
- **Class ID:** C000221663

**Class ID Record:120**
- **Class ID:** C000087364

**Class ID Record:121**
- **Class ID:** C000087361

**Class ID Record:122**
- **Class ID:** C000166842

**Class ID Record:123**
- **Class ID:** C000210253

**Class ID Record:124**
- **Class ID:** C000087363

**Class ID Record:125**
- **Class ID:** C000087362

**Class ID Record:126**
- **Class ID:** C000127145

**Class ID Record:127**
- **Class ID:** C000166838

**Class ID Record:128**
- **Class ID:** C000080517

**Class ID Record:129**
- **Class ID:** C000138227

**Class ID Record:130**
- **Class ID:** C000080514

**Class ID Record:131**
- **Class ID:** C000080516

**Class ID Record:132**
- **Class ID:** C000080515

**Class ID Record:133**
- **Class ID:** C000221672

**Class ID Record:134**
- **Class ID:** C000113212

**Class ID Record:135**
- **Class ID:** C000113211

**Class ID Record:136**
- **Class ID:** C000185944

**Class ID Record:137**
- **Class ID:** C000113210

**Class ID Record:138**
- **Class ID:** C000113213

**Class ID Record:139**
- **Class ID:** C000166846

**Class ID Record:140**
- **Class ID:** C000121101

**Class ID Record:141**
- **Class ID:** C000121098

**Class ID Record:142**
- **Class ID:** C000121100

**Class ID Record:143**
- **Class ID:** C000121097

**Class ID Record:144**
- **Class ID:** C000121099

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2022-10-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** MAINSTAY FUNDS TRUST

- **Item B.1.b - Investment Company Act file number:** 811-22321

- **Item B.1.c - CIK:** 0001469192

- **Item B.1.d - LEI:** 549300SQRLBSUG7RD002

- **Item B.2.a - Street 1:** 51 MADISON AVE

- **Item B.2.b - City:** NEW YORK

- **Item B.2.c - State:** NY

- **Item B.2.e - Zip Code:** 10010

- **Item B.2.f - Telephone:** 212-576-7000

- **Item B.2.g - Public Website:** nylinvestments.com/funds

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** JPMorgan Chase Bank, N.A.

- **b. Street 1:** 4 Chase Metrotech Center

- **c. City:** Brooklyn

- **d. State, if applicable:** NY

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 11245

- **g. Telephone number:** 718-242-0609

- **h. Briefly describe the books and records kept at this location:** Records relating to its functions as custodian, sub-administrator and accounting agent

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

- **Item B.5.a - Is the Registrant part of a family of investment companies?:** Yes

- **Item B.5.a.i - Full name of family of investment companies:** Mainstay Group of Funds

### Item B.6 - Organization

- [x] a. Open-end management investment company registered under the Act on Form N-1A

- [ ] b. Closed-end management investment company registered under the Act on Form N-2

- [ ] c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3

- [ ] d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4

- [ ] e. Small business investment company registered under the Act on Form N-5

- [ ] f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6

- [ ] g. Unit investment trust registered under the Act on Form N-8B-2

- **Item B.6.i - Total number of Series:** 33

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.8 - Directors

| Name                | Is Interested Person?   | Other Investment Company File Numbers                                                                |
|:---|:---|:---|
| Susan B. Kerley     | No                      | 811-04254, 811-06310, 811-04550, 811-23654, 811-22551, 811-05812, 811-06740, 811-03833-01, 811-04052 |
| Richard S. Trutanic | No                      | 811-22551, 811-23654, 811-03833-01, 811-04550                                                        |
| Karen Hammond       | No                      | 811-23654, 811-04550, 811-22551                                                                      |
| Jacques P. Perold   | No                      | 811-23654, 811-04550, 811-03833-01, 811-22551                                                        |
| David H. Chow       | No                      | 811-04550, 811-22551, 811-03833-01, 811-23654, 811-10325                                             |
| Alan R. Latshaw     | No                      | 811-04550, 811-23654, 811-01519, 811-22551, 811-10027, 811-03833-01                                  |

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Kevin M. Gleason

- **b. CRD Number, if any:** 000000000

- **c. Street Address 1:** 30 Hudson Street

- **d. City:** Jersey City

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 07302

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** Yes

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** No

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.12.a - Were any claims with respect to the Registrant filed under a fidelity bond?:** No

- **Item B.13.a - Are the Registrant's officers or directors covered under any insurance policy?:** Yes

- **Item B.13.a.i - If yes, were any claims filed under the policy during the reporting period?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-32190
  - IC-17318
  - IC-15758
  - IC-31663

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** NYLIFE Distributors LLC

- **ii. SEC file number:** 8-46655

- **iii. CRD number:** 000035350

- **iv. LEI, if any:** 00000000000000000000

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** Yes

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** KPMG LLP

- **b. PCAOB Number:** 185

- **c. LEI, if any:** 5493003PVCIGA21KOK42

- **d. State, if applicable:** PA

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.18 - Did an independent public accountant's report on internal control note any material weaknesses?:** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

- **Item B.22.a - Were any payments made to shareholders as a result of an error in calculating NAV?:** No

- **Item B.23 - Did the Registrant pay any dividend or make any distribution required to be accompanied by a written statement?:** No

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - MainStay Candriam Emerging Markets Equity Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Candriam Emerging Markets Equity Fund

- **b. Series identification number, if any:** S000059215

- **c. LEI:** 549300OEYQVZONE1SZ66

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000194050                                | MCYAX                        |
|                           2 | Class R6                | C000194053                                | MCYSX                        |
|                           3 | Investor Class          | C000194055                                | MCYVX                        |
|                           4 | Class I                 | C000194052                                | MCYIX                        |
|                           5 | Class C                 | C000194051                                | MCYCX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $772,454.20

- **g. Provide the net income from securities lending activities:** $20,370.00

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

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Candriam

- **ii. SEC file number:** 801-80508

- **iii. CRD number:** 000173155

- **iv. LEI, if any:** 5493000L8ZALVE64H005

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** HSBC Bank Argentina S.A.

- **ii. LEI, if any:** 549300K52NF2S4SQDO82

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** Banco Santander Chile

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** HSBC Bank Middle East Limited

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** HSBC Bank Middle East Limited

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 6**

- **i. Full name:** UniCredit Bank Czech Republic and Slovakia, a.s.

- **ii. LEI, if any:** KR6LSKV3BTSJRD41IF75

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** Bank Handlowy w. Warszawie S.A.

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** HSBC Bank Malaysia Berhad

- **ii. LEI, if any:** P3RPN9OJFCXUPJWB1Q09

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** Standard Chartered Bank Korea Limited

- **ii. LEI, if any:** NUXTG47HHHM1K2L0SG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** Cititrust Colombia S.A.

- **ii. LEI, if any:** 549300242J3IJCOSGI49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** Citibank, N.A.

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 24**

- **i. Full name:** Citibank del Peru S.A.

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** Standard Chartered Bank Kenya Limited

- **ii. LEI, if any:** 549300RBHWW5EJIRG629

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** Citibank A.S.

- **ii. LEI, if any:** CWZ8NZDH5SKY12Q4US31

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** HSBC Bank (Vietnam) Ltd.

- **ii. LEI, if any:** 213800H95OG9OHRT4Y78

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** HSBC France Athens Branch

- **ii. LEI, if any:** MP6I5ZYZBEU3UXPYFY54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** J.P. Morgan Bank International (Limited Liability Company)**

- **ii. LEI, if any:** 549300B831LSRSI6RA15

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** PT Bank HSBC Indonesia

- **ii. LEI, if any:** 213800HW5IDIRLWH1203

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** J.P. Morgan S.A. DTVM

- **ii. LEI, if any:** 5493001LS7J56NZZ3G07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Societe Generale

- **ii. SEC file number:** N/A

- **iii. CRD number:** N/A

- **iv. LEI, if any:** O2RNE8IBXP4R0TD8PU41

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,073.31

**Brokers Record: 2**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $12,623.65

**Brokers Record: 3**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,143.88

**Brokers Record: 4**

- **i. Full name of broker:** Instinet, LLC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,182.51

**Brokers Record: 5**

- **i. Full name of broker:** ICICI Securities Limited

- **ii. SEC file number:** N/A

- **iii. CRD number:** N/A

- **iv. LEI, if any:** 335800RT5NJ3UPWK7351

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,649.59

**Brokers Record: 6**

- **i. Full name of broker:** Credit Agricole Securities (USA) Inc.

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 549300WO2DKF0Q3YMV43

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,393.06

**Brokers Record: 7**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,749.53

**Brokers Record: 8**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $20,374.48

**Brokers Record: 9**

- **i. Full name of broker:** CITIC Securities International USA, LLC

- **ii. SEC file number:** 8-68887

- **iii. CRD number:** 000158266

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,502.22

**Brokers Record: 10**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $17,585.65

**Aggregate Commission:** $91,740.28

**Item C.17.a. Principal transaction counterparties.**

| Name                                    | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Nomura Securities International, Inc.   | 8-15255           |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $6.27                     |
| Citigroup Global Markets Inc.           | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $61,873.29                |
| CITIC Securities International USA, LLC | 8-68887           |    000158266 | N/A                  | NY      | US        | $33,514.41                |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $95,393.97

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $100,409,330.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 2 - MainStay MacKay California Tax Free Opportunities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay MacKay California Tax Free Opportunities Fund

- **b. Series identification number, if any:** S000039903

- **c. LEI:** 549300S8NE8IN2HVIF89

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R6                | C000185950                                | MSODX                        |
|                           2 | Class C2                | C000221676                                | MCAMX                        |
|                           3 | Class I                 | C000123765                                | MCOIX                        |
|                           4 | Investor Class          | C000123766                                | MSCVX                        |
|                           5 | Class C                 | C000123764                                | MSCCX                        |
|                           6 | Class A                 | C000123763                                | MSCAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $22,163.00

**Aggregate Commission:** $22,163.00

**Item C.17.a. Principal transaction counterparties.**

| Name                                     | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Siebert Williams Shank & Co., LLC        | 8-49877           |    000042568 | 254900VTARX8RAY9QK77 | NY      | US        | $62,247,294.25            |
| J.P. Morgan Securities LLC               | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $897,293,379.02           |
| RBC Capital Markets, LLC                 | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $205,036,475.56           |
| Stifel, Nicolaus & Company, Incorporated | 8-01447           |    000000793 | 5WUVMA08EYG4KEUPW589 | MO      | US        | $83,664,271.85            |
| Citigroup Global Markets Inc.            | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $153,584,097.22           |
| Barclays Capital, Inc.                   | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $103,527,420.05           |
| Wells Fargo Securities, LLC              | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $86,492,987.45            |
| Morgan Stanley & Co. LLC                 | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $81,294,858.50            |
| Pershing LLC                             | 8-17574           |    000007560 | ZI8Q1A8EI8LQFJNM0D94 | NJ      | US        | $62,759,326.65            |
| BofA Securities, Inc.                    | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $86,980,828.74            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,343,401,080.68

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,138,004,008.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 3 - MainStay Equity Allocation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Equity Allocation Fund

- **b. Series identification number, if any:** S000028535

- **c. LEI:** 549300Q018OBXY4NNP12

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Investor Class          | C000087365                                | MGXNX                        |
|                           2 | Class B                 | C000087367                                | MGXBX                        |
|                           3 | Class I                 | C000087369                                | MGXIX                        |
|                           4 | Class R3                | C000166843                                | MGXRX                        |
|                           5 | SIMPLE Class            | C000221664                                | MGXSX                        |
|                           6 | Class C                 | C000087368                                | MGXCX                        |
|                           7 | Class A                 | C000087366                                | MGXAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3.91

**Aggregate Commission:** $3.91

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| Goldman Sachs & Co. LLC             | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $881,568.93               |
| Citadel Securities LLC              | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $5,586,227.06             |
| J.P. Morgan Securities LLC          | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $87,104,907.56            |
| Citigroup Global Markets Inc.       | 8-08177           | 000007059    | MBNUM2BPBDO7JBLYG310 | NY      | US        | $66,371.68                |
| Virtu Americas LLC                  | 8-68193           | 000149823    | 549300RA02N3BNSWBV74 | NY      | US        | $20,098,486.69            |
| FNY Capital Management LP           | N/A               | N/A          | 549300PXOMC0L1OHLQ47 | NY      | US        | $2,190,880.09             |
| Jane Street Execution Services, LLC | 8-69254           | 000167280    | 549300HXJLXCPDWAH070 | NY      | US        | $1,542,606.82             |
| Jane Street Capital, LLC            | 8-52275           | 000103782    | 549300ZM16HMPEPNV857 | NY      | US        | $3,639,509.48             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $121,110,558.31

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $434,330,831.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 4 - MainStay MacKay Total Return Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay MacKay Total Return Bond Fund

- **b. Series identification number, if any:** S000028537

- **c. LEI:** 549300F3C2BWGPG60278

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Investor Class          | C000087373                                | MTMNX                        |
|                           2 | Class R3                | C000166844                                | MTRVX                        |
|                           3 | Class I                 | C000087377                                | MTMIX                        |
|                           4 | Class R1                | C000116270                                | MTMRX                        |
|                           5 | Class B                 | C000087375                                | MTMBX                        |
|                           6 | SIMPLE Class            | C000221666                                | MTMSX                        |
|                           7 | Class R2                | C000116271                                | MTRTX                        |
|                           8 | Class C                 | C000087376                                | MTMCX                        |
|                           9 | Class R6                | C000127150                                | MTRDX                        |
|                          10 | Class A                 | C000087374                                | MTMAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,971,415.82

- **g. Provide the net income from securities lending activities:** $57,185.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 4**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 5**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** Mizuho Bank, Ltd.

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** Santander Securities Services, S.A.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $67,385.45

**Aggregate Commission:** $67,385.45

**Item C.17.a. Principal transaction counterparties.**

| Name                            | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Morgan Stanley & Co. LLC        | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $61,930,390.72            |
| J.P. Morgan Securities LLC      | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $2,009,933,683.58         |
| Citadel Securities LLC          | 8-53574           |    000116797 | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $185,468,407.63           |
| Amherst Pierpont Securities LLC | 8-68282           |    000150696 | 549300LGG2RLWD21SU97 | NY      | US        | $121,951,155.27           |
| Barclays Capital, Inc.          | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $134,077,557.80           |
| Deutsche Bank Securities Inc.   | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $32,143,101.02            |
| Citigroup Global Markets Inc.   | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $143,375,455.92           |
| Goldman Sachs & Co. LLC         | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $262,142,656.09           |
| Wells Fargo Securities, LLC     | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $30,407,802.06            |
| BofA Securities, Inc.           | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $370,522,971.62           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,775,954,472.53

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $614,990,718.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 5 - MainStay Epoch Capital Growth Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Epoch Capital Growth Fund

- **b. Series identification number, if any:** S000054257

- **c. LEI:** 5493007ZZLRL6VENV585

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000170407                                | MECDX                        |
|                           2 | Class C                 | C000170408                                | MECEX                        |
|                           3 | Class I                 | C000170409                                | MECFX                        |
|                           4 | Investor Class          | C000170410                                | MECVX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $333,142.11

- **g. Provide the net income from securities lending activities:** $2,317.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Epoch Investment Partners, Inc.

- **ii. SEC file number:** 801-63118

- **iii. CRD number:** 000131556

- **iv. LEI, if any:** 549300FT720Z0BVCWS87

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** Mizuho Bank, Ltd.

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** Standard Chartered Bank Korea Limited

- **ii. LEI, if any:** NUXTG47HHHM1K2L0SG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Santander Securities Services, S.A.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 17**

- **i. Full name:** J.P. Morgan Saudi Arabia Company

- **ii. LEI, if any:** 549300HST49806XTCK29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** UniCredit Bank Czech Republic and Slovakia, a.s.

- **ii. LEI, if any:** KR6LSKV3BTSJRD41IF75

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 549300ZK53CNGEEI6A29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** HSBC France Athens Branch

- **ii. LEI, if any:** MP6I5ZYZBEU3UXPYFY54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 28**

- **i. Full name:** J.P. Morgan S.A. DTVM

- **ii. LEI, if any:** 5493001LS7J56NZZ3G07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** Bank Leumi le-Israel B.M.

- **ii. LEI, if any:** 7JDSZWRGUQY2DSTWCR57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** Bank Handlowy w. Warszawie S.A.

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** HSBC Bank Malaysia Berhad

- **ii. LEI, if any:** P3RPN9OJFCXUPJWB1Q09

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** PT Bank HSBC Indonesia

- **ii. LEI, if any:** 213800HW5IDIRLWH1203

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** CITIC Securities International USA, LLC

- **ii. SEC file number:** 8-68887

- **iii. CRD number:** 000158266

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $805.44

**Brokers Record: 2**

- **i. Full name of broker:** Macquarie Group Limited

- **ii. SEC file number:** N/A

- **iii. CRD number:** N/A

- **iv. LEI, if any:** ACMHD8HWFMFUIQQ8Y590

- **vii. Gross commissions paid by the Fund for the reporting period:** $901.46

**Brokers Record: 3**

- **i. Full name of broker:** Mizuho Securities USA LLC

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 7TK5RJIZDFROZCA6XF66

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,006.49

**Brokers Record: 4**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,577.45

**Brokers Record: 5**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,165.98

**Brokers Record: 6**

- **i. Full name of broker:** Daiwa Capital Markets America Inc.

- **ii. SEC file number:** 8-12242

- **iii. CRD number:** 000001576

- **iv. LEI, if any:** M67H5PRC0NQKM73ZAS82

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,602.67

**Brokers Record: 7**

- **i. Full name of broker:** Sanford C. Bernstein & Co., LLC

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,858.74

**Brokers Record: 8**

- **i. Full name of broker:** HSBC Securities (USA) Inc.

- **ii. SEC file number:** 8-41562

- **iii. CRD number:** 000019585

- **iv. LEI, if any:** CYYGQCGNHMHPSMRL3R97

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,004.83

**Brokers Record: 9**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,658.55

**Brokers Record: 10**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,765.37

**Aggregate Commission:** $26,259.72

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $32,554,782.21            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $32,554,782.21

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $69,071,168.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 6 - MainStay MacKay High Yield Municipal Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay MacKay High Yield Municipal Bond Fund

- **b. Series identification number, if any:** S000028227

- **c. LEI:** 549300QXVF3SZ2KO6339

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Investor Class          | C000086335                                | MMHVX                        |
|                           2 | Class C                 | C000086337                                | MMHDX                        |
|                           3 | Class R6                | C000185918                                | MMHEX                        |
|                           4 | Class I                 | C000086338                                | MMHIX                        |
|                           5 | Class A                 | C000086336                                | MMHAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $95,912.50

**Brokers Record: 2**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,191.29

**Aggregate Commission:** $99,103.79

**Item C.17.a. Principal transaction counterparties.**

| Name                              | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Siebert Williams Shank & Co., LLC | 8-49877           |    000042568 | 254900VTARX8RAY9QK77 | NY      | US        | $566,177,124.65           |
| BofA Securities, Inc.             | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $779,642,320.96           |
| J.P. Morgan Securities LLC        | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $10,380,084,950.91        |
| Jefferies LLC                     | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $423,960,128.65           |
| Janney Montgomery Scott LLC       | 8-00462           |    000000463 | 549300QQRY1JCFQHYS08 | PA      | US        | $369,764,724.55           |
| Barclays Capital, Inc.            | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $1,114,263,934.64         |
| Goldman Sachs & Co. LLC           | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $626,326,582.22           |
| Citigroup Global Markets Inc.     | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $1,000,377,803.98         |
| Morgan Stanley & Co. LLC          | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $617,714,859.27           |
| Wells Fargo Securities, LLC       | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $309,875,899.10           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $18,765,944,214.89

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $11,102,478,866.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 7 - MainStay Moderate Allocation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Moderate Allocation Fund

- **b. Series identification number, if any:** S000028533

- **c. LEI:** 549300T35QNI41ZM6997

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R3                | C000166841                                | MMRHX                        |
|                           2 | SIMPLE Class            | C000221662                                | MMRSX                        |
|                           3 | Class B                 | C000087357                                | MMRBX                        |
|                           4 | Class R2                | C000210251                                | MMRKX                        |
|                           5 | Class A                 | C000087356                                | MMRAX                        |
|                           6 | Investor Class          | C000087355                                | MMRDX                        |
|                           7 | Class I                 | C000087359                                | MMRIX                        |
|                           8 | Class C                 | C000087358                                | MMRCX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| Goldman Sachs & Co. LLC             | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $2,273,347.45             |
| Virtu Americas LLC                  | 8-68193           | 000149823    | 549300RA02N3BNSWBV74 | NY      | US        | $41,560,192.85            |
| J.P. Morgan Securities LLC          | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $398,139,318.96           |
| Jane Street Execution Services, LLC | 8-69254           | 000167280    | 549300HXJLXCPDWAH070 | NY      | US        | $23,940,429.67            |
| Jane Street Capital, LLC            | 8-52275           | 000103782    | 549300ZM16HMPEPNV857 | NY      | US        | $62,566,276.49            |
| FNY Capital Management LP           | N/A               | N/A          | 549300PXOMC0L1OHLQ47 | NY      | US        | $9,621,160.35             |
| Citadel Securities LLC              | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $10,222,774.23            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $548,323,500.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $814,506,738.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 8 - MainStay Floating Rate Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Floating Rate Fund

- **b. Series identification number, if any:** S000028529

- **c. LEI:** 549300TKK2EWM1KEEX83

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class B                 | C000087335                                | MXFBX                        |
|                           2 | Class R3                | C000166839                                | MXFHX                        |
|                           3 | Class A                 | C000087334                                | MXFAX                        |
|                           4 | Class C                 | C000087336                                | MXFCX                        |
|                           5 | SIMPLE Class            | C000221660                                | MXFMX                        |
|                           6 | Class R6                | C000185929                                | MXFEX                        |
|                           7 | Class I                 | C000087337                                | MXFIX                        |
|                           8 | Investor Class          | C000087333                                | MXFNX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $7,244,136.46

- **g. Provide the net income from securities lending activities:** $247,567.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** NYL Investors LLC

- **ii. SEC file number:** 801-78759

- **iii. CRD number:** 000169553

- **iv. LEI, if any:** 5493000EG09WOQURS721

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC            | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $870,870,931.46           |
| RBC Capital Markets, LLC              | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $105,428,878.62           |
| Barclays Capital, Inc.                | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $140,536,128.61           |
| Citigroup Global Markets Inc.         | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $347,469,209.21           |
| Morgan Stanley & Co. LLC              | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $503,736,419.43           |
| Mizuho Securities USA LLC             | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $72,677,065.45            |
| BNP Paribas Securities Corp.          | 8-32682           |    000015794 | RCNB6OTYUAMMP879YW96 | NY      | US        | $227,577,479.21           |
| Nomura Securities International, Inc. | 8-15255           |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $395,382,829.34           |
| BMO Capital Markets Corp.             | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $555,606,952.48           |
| Goldman Sachs & Co. LLC               | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $205,803,108.45           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,725,081,457.71

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,379,577,279.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 9 - MainStay U.S. Government Liquidity Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay U.S. Government Liquidity Fund

- **b. Series identification number, if any:** S000063122

- **c. LEI:** 549300Y3ZLEL13IJCK58

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 1

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class I                 | C000204698                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [x] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** NYL Investors LLC

- **ii. SEC file number:** 801-78759

- **iii. CRD number:** 000169553

- **iv. LEI, if any:** 5493000EG09WOQURS721

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Citigroup Global Markets Inc.         | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $2,495,630,634.04         |
| Nomura Securities International, Inc. | 8-15255           |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $1,276,751,266.49         |
| BNP Paribas Securities Corp.          | 8-32682           |    000015794 | RCNB6OTYUAMMP879YW96 | NY      | US        | $1,530,111,413.16         |
| Goldman Sachs & Co. LLC               | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $1,734,379,895.38         |
| BofA Securities, Inc.                 | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $1,206,311,437.69         |
| Mizuho Securities USA LLC             | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $1,194,679,209.14         |
| BMO Capital Markets Corp.             | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $2,230,748,462.14         |
| Wells Fargo Securities, LLC           | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $838,957,956.83           |
| J.P. Morgan Securities LLC            | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $2,597,431,537.51         |
| Barclays Capital, Inc.                | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $1,872,631,502.37         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $18,583,461,313.56

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.b - Money market fund's daily average net assets:** $1,292,427,821.00

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

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

### Management Investment Record: 10 - MainStay Conservative Allocation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Conservative Allocation Fund

- **b. Series identification number, if any:** S000028532

- **c. LEI:** 549300GI3BTC5N4VFN57

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class B                 | C000087352                                | MCKBX                        |
|                           2 | Class R3                | C000166840                                | MCKRX                        |
|                           3 | Class R2                | C000210249                                | MCKKX                        |
|                           4 | Investor Class          | C000087350                                | MCKNX                        |
|                           5 | Class I                 | C000087354                                | MCKIX                        |
|                           6 | SIMPLE Class            | C000221661                                | MCKSX                        |
|                           7 | Class A                 | C000087351                                | MCKAX                        |
|                           8 | Class C                 | C000087353                                | MCKCX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| Jane Street Execution Services, LLC | 8-69254           | 000167280    | 549300HXJLXCPDWAH070 | NY      | US        | $16,440,925.86            |
| FNY Capital Management LP           | N/A               | N/A          | 549300PXOMC0L1OHLQ47 | NY      | US        | $1,030,972.03             |
| Virtu Americas LLC                  | 8-68193           | 000149823    | 549300RA02N3BNSWBV74 | NY      | US        | $24,357,168.51            |
| J.P. Morgan Securities LLC          | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $302,928,723.36           |
| Jane Street Capital, LLC            | 8-52275           | 000103782    | 549300ZM16HMPEPNV857 | NY      | US        | $55,143,355.92            |
| Citadel Securities LLC              | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $3,853,361.30             |
| UBS Securities LLC                  | 8-22651           | 000007654    | T6FIZBDPKLYJKFCRVK44 | NY      | US        | $8,424.62                 |
| Goldman Sachs & Co. LLC             | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $350,448.33               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $404,113,379.93

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $462,159,535.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 11 - MainStay WMC Small Companies Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay WMC Small Companies Fund

- **b. Series identification number, if any:** S000036715

- **c. LEI:** 549300X2531TDNVCHR44

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class B                 | C000112266                                | MOTBX                        |
|                           2 | Class A                 | C000112270                                | MOPAX                        |
|                           3 | Class C                 | C000112267                                | MOPCX                        |
|                           4 | Class R3                | C000166845                                | MOVRX                        |
|                           5 | Class I                 | C000112268                                | MOPIX                        |
|                           6 | Class R1                | C000118993                                | MOPRX                        |
|                           7 | Class R2                | C000118994                                | MOTRX                        |
|                           8 | Investor Class          | C000112269                                | MOINX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $14,293,932.78

- **g. Provide the net income from securities lending activities:** $93,293.00

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

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,479.56

**Brokers Record: 2**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $36,756.03

**Brokers Record: 3**

- **i. Full name of broker:** Raymond James & Associates, Inc.

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,711.60

**Brokers Record: 4**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $18,546.52

**Brokers Record: 5**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,567.90

**Brokers Record: 6**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,202.77

**Brokers Record: 7**

- **i. Full name of broker:** RBC Capital Markets, LLC

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $27,486.46

**Brokers Record: 8**

- **i. Full name of broker:** ROBERT W. BAIRD & CO. INCORPORATED

- **ii. SEC file number:** 8-00497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. State, if applicable:** WI

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,758.83

**Brokers Record: 9**

- **i. Full name of broker:** Cowen and Company

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,766.35

**Brokers Record: 10**

- **i. Full name of broker:** BTIG, LLC

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $49,470.96

**Aggregate Commission:** $276,367.68

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $205,812,459.36           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $205,812,459.36

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $347,622,314.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 12 - MainStay WMC International Research Equity Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay WMC International Research Equity Fund

- **b. Series identification number, if any:** S000028542

- **c. LEI:** 549300PQST4ZGMIXWU52

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000087394                                | MYITX                        |
|                           2 | Class I                 | C000087396                                | MYIIX                        |
|                           3 | Investor Class          | C000087393                                | MYINX                        |
|                           4 | Class C                 | C000087395                                | MYICX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,766,716.95

- **g. Provide the net income from securities lending activities:** $63,054.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Citibank, N.A.

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** J.P. Morgan S.A. DTVM

- **ii. LEI, if any:** 5493001LS7J56NZZ3G07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** Societe Generale Marocaine de Banques

- **ii. LEI, if any:** 549300WHIMVBNIDQWK21

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** Santander Securities Services, S.A.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** Bank Handlowy w. Warszawie S.A.

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** J.P. Morgan Bank International (Limited Liability Company)**

- **ii. LEI, if any:** 549300B831LSRSI6RA15

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 549300ZK53CNGEEI6A29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** Bank Leumi le-Israel B.M.

- **ii. LEI, if any:** 7JDSZWRGUQY2DSTWCR57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** HSBC Bank Middle East Limited

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** HSBC France Athens Branch

- **ii. LEI, if any:** MP6I5ZYZBEU3UXPYFY54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** HSBC Bank (Vietnam) Ltd.

- **ii. LEI, if any:** 213800H95OG9OHRT4Y78

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** Banco Santander Chile

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** Cititrust Colombia S.A.

- **ii. LEI, if any:** 549300242J3IJCOSGI49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** Citibank A.S.

- **ii. LEI, if any:** CWZ8NZDH5SKY12Q4US31

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** Mizuho Bank, Ltd.

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** HSBC Bank Malaysia Berhad

- **ii. LEI, if any:** P3RPN9OJFCXUPJWB1Q09

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 41**

- **i. Full name:** PT Bank HSBC Indonesia

- **ii. LEI, if any:** 213800HW5IDIRLWH1203

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** Citibank del Peru S.A.

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** Standard Chartered Bank Korea Limited

- **ii. LEI, if any:** NUXTG47HHHM1K2L0SG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** HSBC Bank Middle East Limited

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 47**

- **i. Full name:** UniCredit Bank Czech Republic and Slovakia, a.s.

- **ii. LEI, if any:** KR6LSKV3BTSJRD41IF75

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,043.74

**Brokers Record: 2**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,357.58

**Brokers Record: 3**

- **i. Full name of broker:** Merrill Lynch, Pierce, Fenner & Smith Inc.

- **ii. SEC file number:** 8-07221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** 8NAV47T0Y26Q87Y0QP81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,976.90

**Brokers Record: 4**

- **i. Full name of broker:** Virtu Americas LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,135.38

**Brokers Record: 5**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,909.50

**Brokers Record: 6**

- **i. Full name of broker:** Barclays Capital, Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,781.16

**Brokers Record: 7**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,333.19

**Brokers Record: 8**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,260.02

**Brokers Record: 9**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,061.12

**Brokers Record: 10**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,830.64

**Aggregate Commission:** $87,151.25

**Item C.17.a. Principal transaction counterparties.**

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC            | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $76,155,434.16            |
| UBS Securities LLC                    | 8-22651           |    000007654 | T6FIZBDPKLYJKFCRVK44 | NY      | US        | $457,046.91               |
| Morgan Stanley & Co. LLC              | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $44,100.00                |
| Nomura Securities International, Inc. | 8-15255           |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $6.33                     |
| Citadel Securities LLC                | 8-53574           |    000116797 | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $950,816.24               |
| Goldman Sachs & Co. LLC               | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $405,961.52               |
| Numis Securities Inc.                 | 8-66139           |    000128471 | 213800GW3YZJDBPALN37 | NY      | US        | $36,036.16                |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $78,049,401.32

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $194,011,595.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 13 - MainStay WMC Growth Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay WMC Growth Fund

- **b. Series identification number, if any:** S000039358

- **c. LEI:** 549300G3B4EAFQNLNN04

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R2                | C000121297                                | KLGRX                        |
|                           2 | Investor Class          | C000121298                                | KLGNX                        |
|                           3 | Class B                 | C000121294                                | KLGBX                        |
|                           4 | Class R6                | C000185948                                | KLGDX                        |
|                           5 | Class C                 | C000121295                                | KLGCX                        |
|                           6 | Class A                 | C000121293                                | KLGAX                        |
|                           7 | Class I                 | C000121296                                | KLGIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $2,430,759.15

- **g. Provide the net income from securities lending activities:** $10,093.00

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

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,730.21

**Brokers Record: 2**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,820.75

**Brokers Record: 3**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,921.61

**Brokers Record: 4**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,883.93

**Brokers Record: 5**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,960.49

**Brokers Record: 6**

- **i. Full name of broker:** Barclays Capital, Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,728.84

**Brokers Record: 7**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,450.75

**Brokers Record: 8**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,117.53

**Brokers Record: 9**

- **i. Full name of broker:** Allen & Company LLC

- **ii. SEC file number:** 8-12123

- **iii. CRD number:** 000001042

- **iv. LEI, if any:** 549300RO3RYDN328JY68

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,230.35

**Brokers Record: 10**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,816.73

**Aggregate Commission:** $96,913.72

**Item C.17.a. Principal transaction counterparties.**

| Name                             | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Raymond James & Associates, Inc. | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $193,200.00               |
| J.P. Morgan Securities LLC       | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $504,728,608.12           |
| Goldman Sachs & Co. LLC          | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $437,692.00               |
| Morgan Stanley & Co. LLC         | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $2,171,331.00             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $507,530,831.12

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $808,586,081.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 14 - MainStay S&P 500 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay S&P 500 Index Fund

- **b. Series identification number, if any:** S000028525

- **c. LEI:** 5493003KCMU84KHQDX98

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | SIMPLE Class            | C000221659                                | MSXMX                        |
|                           2 | Investor Class          | C000087312                                | MYSPX                        |
|                           3 | Class A                 | C000087313                                | MSXAX                        |
|                           4 | Class I                 | C000087314                                | MSPIX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,181,740.95

- **g. Provide the net income from securities lending activities:** $18,280.00

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

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** IndexIQ Advisors LLC

- **ii. SEC file number:** 801-68220

- **iii. CRD number:** 000144790

- **iv. LEI, if any:** 549300GES17SMB5H7677

- **v. Is the sub-adviser an affiliated person?:** Yes

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,361.41

**Brokers Record: 2**

- **i. Full name of broker:** Instinet, LLC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $888.80

**Brokers Record: 3**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,968.30

**Brokers Record: 4**

- **i. Full name of broker:** Virtu Americas LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28.00

**Brokers Record: 5**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $160.45

**Brokers Record: 6**

- **i. Full name of broker:** Wells Fargo Securities, LLC

- **ii. SEC file number:** 8-65876

- **iii. CRD number:** 000126292

- **iv. LEI, if any:** VYVVCKR63DVZZN70PB21

- **v. State, if applicable:** NC

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $131.36

**Aggregate Commission:** $8,538.32

**Item C.17.a. Principal transaction counterparties.**

| Name                          | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Piper Sandler & Co.           | 8-15204           |    000000665 | 549300GRQCWQ3XGH0H10 | MN      | US        | $996,591.25               |
| J.P. Morgan Securities LLC    | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $78,118,006.53            |
| TMC Bonds L.L.C.              | 8-52951           |    000104507 | N/A                  | NY      | US        | $399,158.19               |
| Citadel Securities LLC        | 8-53574           |    000116797 | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $9,251,930.31             |
| UBS Securities LLC            | 8-22651           |    000007654 | T6FIZBDPKLYJKFCRVK44 | NY      | US        | $27,701,668.01            |
| MarketAxess Corporation       | 8-50727           |    000044542 | GPSMMRI21JE7ZCVYF972 | NY      | US        | $299,983.32               |
| BofA Securities, Inc.         | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $38,880,125.84            |
| Wells Fargo Securities, LLC   | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $14,533,881.95            |
| Goldman Sachs & Co. LLC       | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $399,888.35               |
| Citigroup Global Markets Inc. | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $208,076,309.29           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $379,456,267.70

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,226,811,866.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 15 - MainStay Short Term Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Short Term Bond Fund

- **b. Series identification number, if any:** S000028536

- **c. LEI:** 549300O98OR0VH1HJ155

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class I                 | C000087370                                | MIXIX                        |
|                           2 | Investor Class          | C000087371                                | MIXNX                        |
|                           3 | Class A                 | C000087372                                | MIXAX                        |
|                           4 | SIMPLE Class            | C000221665                                | MIXMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** NYL Investors LLC

- **ii. SEC file number:** 801-78759

- **iii. CRD number:** 000169553

- **iv. LEI, if any:** 5493000EG09WOQURS721

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** RBC Capital Markets, LLC

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,167.41

**Aggregate Commission:** $6,167.41

**Item C.17.a. Principal transaction counterparties.**

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BofA Securities, Inc.                 | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $92,882,988.08            |
| Pershing LLC                          | 8-17574           |    000007560 | ZI8Q1A8EI8LQFJNM0D94 | NJ      | US        | $11,275,987.80            |
| SG Americas Securities, LLC           | 8-66125           |    000128351 | 549300F35UE0BOM1WJ55 | NY      | US        | $26,448,773.45            |
| Wells Fargo Securities, LLC           | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $26,109,286.32            |
| Morgan Stanley & Co. LLC              | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $32,636,729.22            |
| Citigroup Global Markets Inc.         | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $34,788,386.66            |
| J.P. Morgan Securities LLC            | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $166,706,570.16           |
| Nomura Securities International, Inc. | 8-15255           |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $20,360,328.12            |
| TD SECURITIES (USA) LLC               | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $33,111,108.22            |
| Goldman Sachs & Co. LLC               | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $64,980,715.38            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $591,880,231.81

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $78,221,394.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 16 - MainStay Epoch International Choice Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Epoch International Choice Fund

- **b. Series identification number, if any:** S000028522

- **c. LEI:** 549300FPTWJRAID17352

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Investor Class          | C000087295                                | ICELX                        |
|                           2 | Class R2                | C000087300                                | ICEYX                        |
|                           3 | Class C                 | C000087297                                | ICEWX                        |
|                           4 | Class R3                | C000087301                                | ICEZX                        |
|                           5 | SIMPLE Class            | C000221657                                | ICERX                        |
|                           6 | Class A                 | C000087296                                | ICEVX                        |
|                           7 | Class I                 | C000087298                                | ICEUX                        |
|                           8 | Class R1                | C000087299                                | ICETX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,894,566.35

- **g. Provide the net income from securities lending activities:** $30,757.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Epoch Investment Partners, Inc.

- **ii. SEC file number:** 801-63118

- **iii. CRD number:** 000131556

- **iv. LEI, if any:** 549300FT720Z0BVCWS87

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** HSBC Bank Malaysia Berhad

- **ii. LEI, if any:** P3RPN9OJFCXUPJWB1Q09

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** J.P. Morgan S.A. DTVM

- **ii. LEI, if any:** 5493001LS7J56NZZ3G07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Bank Leumi le-Israel B.M.

- **ii. LEI, if any:** 7JDSZWRGUQY2DSTWCR57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** PT Bank HSBC Indonesia

- **ii. LEI, if any:** 213800HW5IDIRLWH1203

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 11**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 13**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** Bank Handlowy w. Warszawie S.A.

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** UniCredit Bank Czech Republic and Slovakia, a.s.

- **ii. LEI, if any:** KR6LSKV3BTSJRD41IF75

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** Santander Securities Services, S.A.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 549300ZK53CNGEEI6A29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** HSBC France Athens Branch

- **ii. LEI, if any:** MP6I5ZYZBEU3UXPYFY54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** Mizuho Bank, Ltd.

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Mizuho Securities USA LLC

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 7TK5RJIZDFROZCA6XF66

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,420.06

**Brokers Record: 2**

- **i. Full name of broker:** Exane, Inc.

- **ii. SEC file number:** 8-49569

- **iii. CRD number:** 000041784

- **iv. LEI, if any:** 6SDWK6FV8H98XAGSYS75

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $35,322.26

**Brokers Record: 3**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,566.35

**Brokers Record: 4**

- **i. Full name of broker:** ODDO BHF SCA

- **ii. SEC file number:** N/A

- **iii. CRD number:** N/A

- **iv. LEI, if any:** 9695002I9DJHZ3449O66

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,182.04

**Brokers Record: 5**

- **i. Full name of broker:** Macquarie Group Limited

- **ii. SEC file number:** N/A

- **iii. CRD number:** N/A

- **iv. LEI, if any:** ACMHD8HWFMFUIQQ8Y590

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,195.38

**Brokers Record: 6**

- **i. Full name of broker:** Merrill Lynch, Pierce, Fenner & Smith Inc.

- **ii. SEC file number:** 8-07221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** 8NAV47T0Y26Q87Y0QP81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,732.76

**Brokers Record: 7**

- **i. Full name of broker:** Sanford C. Bernstein & Co., LLC

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $50,413.81

**Brokers Record: 8**

- **i. Full name of broker:** Barclays Capital, Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $26,466.10

**Brokers Record: 9**

- **i. Full name of broker:** REDBURN (USA) LLC

- **ii. SEC file number:** 8-67320

- **iii. CRD number:** 000140564

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,275.97

**Brokers Record: 10**

- **i. Full name of broker:** Berenberg Capital Markets LLC

- **ii. SEC file number:** 8-68821

- **iii. CRD number:** 000156757

- **iv. LEI, if any:** 5493007EG0CYRKKG9L11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,410.73

**Aggregate Commission:** $255,583.26

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $112,893,527.15           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $112,893,527.15

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $242,271,422.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 17 - MainStay Epoch U.S. Equity Yield Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Epoch U.S. Equity Yield Fund

- **b. Series identification number, if any:** S000026784

- **c. LEI:** 549300VUF2DM62SGU537

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class B                 | C000180191                                | EPLBX                        |
|                           2 | Class R1                | C000180192                                | EPLRX                        |
|                           3 | Class I                 | C000080509                                | EPLCX                        |
|                           4 | Investor Class          | C000080506                                | EPLIX                        |
|                           5 | Class A                 | C000080507                                | EPLPX                        |
|                           6 | Class R2                | C000180193                                | EPLSX                        |
|                           7 | SIMPLE Class            | C000221654                                | EPLMX                        |
|                           8 | Class R3                | C000180194                                | EPLTX                        |
|                           9 | Class R6                | C000180195                                | EPLDX                        |
|                          10 | Class C                 | C000080508                                | EPLKX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $6,427,201.90

- **g. Provide the net income from securities lending activities:** $23,479.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Epoch Investment Partners, Inc.

- **ii. SEC file number:** 801-63118

- **iii. CRD number:** 000131556

- **iv. LEI, if any:** 549300FT720Z0BVCWS87

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $23,259.26

**Brokers Record: 2**

- **i. Full name of broker:** Barclays Capital, Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,147.75

**Brokers Record: 3**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,005.80

**Brokers Record: 4**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,722.10

**Brokers Record: 5**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $48,994.44

**Brokers Record: 6**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,562.06

**Brokers Record: 7**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,972.37

**Brokers Record: 8**

- **i. Full name of broker:** Cowen and Company

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,138.90

**Brokers Record: 9**

- **i. Full name of broker:** Sanford C. Bernstein & Co., LLC

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $44,910.24

**Brokers Record: 10**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,593.50

**Aggregate Commission:** $273,025.13

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $324,862,634.11           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $324,862,634.11

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,087,707,073.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 18 - MainStay Balanced Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Balanced Fund

- **b. Series identification number, if any:** S000036714

- **c. LEI:** 549300DL5ZTPAWGC6G97

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 10

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class B                 | C000112259                                | MBNBX                        |
|                           2 | Class A                 | C000112258                                | MBNAX                        |
|                           3 | Class R1                | C000112262                                | MBNRX                        |
|                           4 | Class R3                | C000112264                                | MBDRX                        |
|                           5 | Class I                 | C000112261                                | MBAIX                        |
|                           6 | Class R6                | C000185940                                | MBERX                        |
|                           7 | Class C                 | C000112260                                | MBACX                        |
|                           8 | Class R2                | C000112263                                | MBCRX                        |
|                           9 | Investor Class          | C000112265                                | MBINX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,753,010.07

- **g. Provide the net income from securities lending activities:** $14,558.00

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

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** NYL Investors LLC

- **ii. SEC file number:** 801-78759

- **iii. CRD number:** 000169553

- **iv. LEI, if any:** 5493000EG09WOQURS721

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 3**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,368.80

**Brokers Record: 2**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,578.28

**Brokers Record: 3**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,185.36

**Brokers Record: 4**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,501.93

**Brokers Record: 5**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,036.94

**Brokers Record: 6**

- **i. Full name of broker:** Virtu Americas LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $62,650.71

**Brokers Record: 7**

- **i. Full name of broker:** RBC Capital Markets, LLC

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $12,136.69

**Brokers Record: 8**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,675.81

**Brokers Record: 9**

- **i. Full name of broker:** Jefferies LLC

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,435.86

**Brokers Record: 10**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,805.11

**Aggregate Commission:** $136,348.43

**Item C.17.a. Principal transaction counterparties.**

| Name                        | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Citadel Securities LLC      | 8-53574           |    000116797 | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $82,983,745.36            |
| Jane Street Capital, LLC    | 8-52275           |    000103782 | 549300ZM16HMPEPNV857 | NY      | US        | $207,545,547.04           |
| Wells Fargo Securities, LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $236,563,834.17           |
| SG Americas Securities, LLC | 8-66125           |    000128351 | 549300F35UE0BOM1WJ55 | NY      | US        | $82,133,920.02            |
| Virtu Americas LLC          | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $76,839,664.48            |
| J.P. Morgan Securities LLC  | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $229,298,396.06           |
| TD SECURITIES (USA) LLC     | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $169,966,487.41           |
| BofA Securities, Inc.       | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $397,298,526.54           |
| Morgan Stanley & Co. LLC    | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $355,050,353.82           |
| Goldman Sachs & Co. LLC     | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $336,142,012.87           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,472,112,677.76

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $483,815,810.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 19 - MainStay Growth Allocation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Growth Allocation Fund

- **b. Series identification number, if any:** S000028534

- **c. LEI:** 549300VXKHL3MH2IL746

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R1                | C000210254                                | MGDJX                        |
|                           2 | Investor Class          | C000087360                                | MGDNX                        |
|                           3 | SIMPLE Class            | C000221663                                | MGDSX                        |
|                           4 | Class I                 | C000087364                                | MGDIX                        |
|                           5 | Class A                 | C000087361                                | MGDAX                        |
|                           6 | Class R3                | C000166842                                | MGDRX                        |
|                           7 | Class R2                | C000210253                                | MGDKX                        |
|                           8 | Class C                 | C000087363                                | MGDCX                        |
|                           9 | Class B                 | C000087362                                | MGDBX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-4 (17 CFR 270.12d1-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| FNY Capital Management LP           | N/A               | N/A          | 549300PXOMC0L1OHLQ47 | NY      | US        | $1,426,576.66             |
| Goldman Sachs & Co. LLC             | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $1,149,434.24             |
| Jane Street Capital, LLC            | 8-52275           | 000103782    | 549300ZM16HMPEPNV857 | NY      | US        | $6,779,805.57             |
| J.P. Morgan Securities LLC          | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $298,100,187.31           |
| Virtu Americas LLC                  | 8-68193           | 000149823    | 549300RA02N3BNSWBV74 | NY      | US        | $27,265,384.80            |
| Citadel Securities LLC              | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $8,945,061.58             |
| Jane Street Execution Services, LLC | 8-69254           | 000167280    | 549300HXJLXCPDWAH070 | NY      | US        | $9,869,659.49             |
| MUFG Securities Americas Inc.       | 8-43026           | 000019685    | K5HU16E3LMSVCCJJJ255 | NY      | US        | $1,268,131.20             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $354,804,240.85

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $827,211,236.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 20 - MainStay Epoch Global Equity Yield Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay Epoch Global Equity Yield Fund

- **b. Series identification number, if any:** S000026786

- **c. LEI:** 549300AP2JN3R7T55E64

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R6                | C000127145                                | EPSRX                        |
|                           2 | Class R3                | C000166838                                | EPSHX                        |
|                           3 | Investor Class          | C000080517                                | EPSIX                        |
|                           4 | Class R2                | C000138227                                | EPSZX                        |
|                           5 | Class A                 | C000080514                                | EPSPX                        |
|                           6 | Class I                 | C000080516                                | EPSYX                        |
|                           7 | Class C                 | C000080515                                | EPSKX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $9,656,738.78

- **g. Provide the net income from securities lending activities:** $103,520.00

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

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Epoch Investment Partners, Inc.

- **ii. SEC file number:** 801-63118

- **iii. CRD number:** 000131556

- **iv. LEI, if any:** 549300FT720Z0BVCWS87

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 84-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 6**

- **i. Full name:** DBS Bank Ltd

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Mizuho Bank, Ltd.

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** Banco Santander Chile

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** Bank Handlowy w. Warszawie S.A.

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** HSBC France Athens Branch

- **ii. LEI, if any:** MP6I5ZYZBEU3UXPYFY54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** J.P. Morgan S.A. DTVM

- **ii. LEI, if any:** 5493001LS7J56NZZ3G07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** Citibank, N.A.

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** UniCredit Bank Czech Republic and Slovakia, a.s.

- **ii. LEI, if any:** KR6LSKV3BTSJRD41IF75

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** Banco Nacional de Mexico, S.A.

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** BNP Paribas Securities Services S.C.A.

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** Standard Chartered Bank Korea Limited

- **ii. LEI, if any:** NUXTG47HHHM1K2L0SG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** Citibank Europe plc

- **ii. LEI, if any:** N1FBEDJ5J41VKZLO2475

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** Citibank del Peru S.A.

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** HSBC Bank Malaysia Berhad

- **ii. LEI, if any:** P3RPN9OJFCXUPJWB1Q09

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 30**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** Bank Leumi le-Israel B.M.

- **ii. LEI, if any:** 7JDSZWRGUQY2DSTWCR57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** UBS Switzerland AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** Citibank A.S.

- **ii. LEI, if any:** CWZ8NZDH5SKY12Q4US31

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** Santander Securities Services, S.A.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** Deutsche Bank AG

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 7W1GMC6J4KGLBBUSYP52

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** J.P. Morgan Bank Luxembourg S.A.

- **ii. LEI, if any:** 549300ZK53CNGEEI6A29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,597.05

**Brokers Record: 2**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-08177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $77,313.98

**Brokers Record: 3**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,938.36

**Brokers Record: 4**

- **i. Full name of broker:** Berenberg Capital Markets LLC

- **ii. SEC file number:** 8-68821

- **iii. CRD number:** 000156757

- **iv. LEI, if any:** 5493007EG0CYRKKG9L11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,852.09

**Brokers Record: 5**

- **i. Full name of broker:** Daiwa Capital Markets America Inc.

- **ii. SEC file number:** 8-12242

- **iii. CRD number:** 000001576

- **iv. LEI, if any:** M67H5PRC0NQKM73ZAS82

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,009.08

**Brokers Record: 6**

- **i. Full name of broker:** Sanford C. Bernstein & Co., LLC

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $80,697.95

**Brokers Record: 7**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-00129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $40,821.59

**Brokers Record: 8**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $61,327.66

**Brokers Record: 9**

- **i. Full name of broker:** Barclays Capital, Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,041.91

**Brokers Record: 10**

- **i. Full name of broker:** UBS Securities LLC

- **ii. SEC file number:** 8-22651

- **iii. CRD number:** 000007654

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $51,816.49

**Aggregate Commission:** $553,098.05

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. Morgan Securities LLC | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $311,204,712.16           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $311,204,712.16

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,130,696,168.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 21 - MainStay MacKay New York Tax Free Opportunities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay MacKay New York Tax Free Opportunities Fund

- **b. Series identification number, if any:** S000036992

- **c. LEI:** 5493000QL2DGK8JJHL76

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C2                | C000221672                                | MNOLX                        |
|                           2 | Class I                 | C000113212                                | MNOIX                        |
|                           3 | Class C                 | C000113211                                | MNOCX                        |
|                           4 | Class R6                | C000185944                                | MNODX                        |
|                           5 | Class A                 | C000113210                                | MNOAX                        |
|                           6 | Investor Class          | C000113213                                | MNOVX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $20,574.85

**Aggregate Commission:** $20,574.85

**Item C.17.a. Principal transaction counterparties.**

| Name                              | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Goldman Sachs & Co. LLC           | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $62,392,172.56            |
| Siebert Williams Shank & Co., LLC | 8-49877           |    000042568 | 254900VTARX8RAY9QK77 | NY      | US        | $128,528,049.05           |
| Raymond James & Associates, Inc.  | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $95,798,521.70            |
| BofA Securities, Inc.             | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $88,577,932.85            |
| Amherst Pierpont Securities LLC   | 8-68282           |    000150696 | 549300LGG2RLWD21SU97 | NY      | US        | $51,009,575.22            |
| J.P. Morgan Securities LLC        | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $1,485,247,897.16         |
| Barclays Capital, Inc.            | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $65,278,376.90            |
| Citigroup Global Markets Inc.     | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $111,143,455.71           |
| Wells Fargo Securities, LLC       | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $79,973,302.80            |
| D.A. Davidson & Co.               | 8-02399           |    000000199 | 549300094RQ5A7DYLF51 | MT      | US        | $55,080,971.15            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,570,723,893.55

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,245,133,738.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 22 - MainStay MacKay Short Duration High Yield Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MainStay MacKay Short Duration High Yield Fund

- **b. Series identification number, if any:** S000039301

- **c. LEI:** 549300WEGNK3CPOQ1307

- **d. Is this the first filing on this form by the Fund?:** No

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class R3                | C000166846                                | MDHTX                        |
|                           2 | Investor Class          | C000121101                                | MDHVX                        |
|                           3 | Class C                 | C000121098                                | MDHCX                        |
|                           4 | Class R2                | C000121100                                | MDHRX                        |
|                           5 | Class A                 | C000121097                                | MDHAX                        |
|                           6 | Class I                 | C000121099                                | MDHIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** JPMorgan Chase Bank NA

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

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

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. SEC file number:** 801-57396

- **iii. CRD number:** 000109591

- **iv. LEI, if any:** IGJ1X7QLRC5K7CY9GE11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** MacKay Shields LLC

- **ii. SEC file number:** 801-5594

- **iii. CRD number:** 000107717

- **iv. LEI, if any:** 549300Y7LLCOFU7R8H16

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** NYLIM Service Company LLC

- **ii. SEC file number:** 084-05844

- **iii. LEI, if any:** 00000000000000000000

- **iv. State, if applicable:** NJ

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** PricingDirect Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **Description of other identifying number:** LEI Number

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** FORVIS Wealth Advisors, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 000110905

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Refinitiv Global Markets Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 000109120

- **Description of other identifying number:** CRD

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** IHS Markit Group Holdings Ltd

- **ii. LEI, if any, or provide and describe other identifying number:** 2138005LTLTVZ4WMEX25

- **Description of other identifying number:** LEI Number

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Euroclear

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 3**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** NYLIM Service Company LLC

- **ii. LEI, if any:** 084-05844

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 84-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** New York Life Investment Management LLC

- **ii. LEI, if any, or other identifying number:** IGJ1X7QLRC5K7CY9GE11

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

**Administrators Record: 2**

- **i. Full name:** JPMorgan Chase Bank, N.A.

- **ii. LEI, if any, or other identifying number:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** NYLIFE Securities LLC

- **b. SEC file number:** 8-15517

- **c. CRD number:** 000005167

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** NYLIFE Distributors LLC

- **b. SEC file number:** 8-46655

- **c. CRD number:** 000035350

- **d. LEI, if any:** 00000000000000000000

- **e. State, if applicable:** NJ

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11.26

**Aggregate Commission:** $11.26

**Item C.17.a. Principal transaction counterparties.**

| Name                               | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BofA Securities, Inc.              | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $61,854,140.10            |
| Deutsche Bank Securities Inc.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $14,920,951.00            |
| J.P. Morgan Securities LLC         | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $65,591,502.90            |
| Barclays Capital, Inc.             | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $15,254,141.75            |
| RBC Capital Markets, LLC           | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $18,078,895.57            |
| Wells Fargo Securities, LLC        | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $40,908,077.36            |
| Citigroup Global Markets Inc.      | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $35,537,279.10            |
| Goldman Sachs & Co. LLC            | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $47,848,929.95            |
| Credit Suisse Securities (USA) LLC | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $25,828,465.00            |
| Jefferies LLC                      | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $21,811,478.23            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $446,800,565.71

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,438,285,070.00

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

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Uncommitted

- **ii. What size is the line of credit?** $100,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

**Line of Credit details Record: 2**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $600,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** JPMorgan Chase Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                              | SEC File number   |
|:---|:---|
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [x] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** MAINSTAY FUNDS TRUST

**Date:** 2022-10-31

**Signature:** Jack Benintende

**Title:** Treasurer