# EDGAR Filing Document

**Accession Number:** 0000727136
**File Stem:** 0000727136-26-000005
**Filing Date:** 2026-3
**Character Count:** 18896
**Document Hash:** 971113f716e1a4bdab200cbc201989f3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000727136-26-000005.hdr.sgml**: 20260311

**ACCESSION NUMBER**: 0000727136-26-000005

**CONFORMED SUBMISSION TYPE**: D

**PUBLIC DOCUMENT COUNT**: 1

**ITEM INFORMATION**: Investment Company Act Section 3(c)

**ITEM INFORMATION**: Section 3(c)(1)

**ITEM INFORMATION**: Section 3(c)(7)

**FILED AS OF DATE**: 20260311

**DATE AS OF CHANGE**: 20260311

**EFFECTIVENESS DATE**: 20260311

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NEW YORK LIFE INSURANCE & ANNUITY CORP
- **CENTRAL INDEX KEY:** 0000727136

**ORGANIZATION NAME:**
- **EIN:** 133044743
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** D
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 021-576205
- **FILM NUMBER:** 26743498

**BUSINESS ADDRESS:**
- **STREET 1:** 51 MADISON AVENUE
- **STREET 2:** C/O NEW YORK LIFE INSURANCE COMPANY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10010
- **BUSINESS PHONE:** 302-369-8500

**MAIL ADDRESS:**
- **STREET 1:** 200 CONTINENTAL DRIVE
- **CITY:** NEWARK
- **STATE:** DE
- **ZIP:** 19713

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NEW YORK LIFE INSURANCE AND ANNUITY CORP
- **DATE OF NAME CHANGE:** 19830909

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM D

### Notice of Exempt Offering of Securities

### 1. Issuer's Identity

**CIK (Filer ID Number):** 0000727136

**Name of Issuer:** NEW YORK LIFE INSURANCE & ANNUITY CORP

**Jurisdiction of Incorporation/Organization:** DELAWARE

**Previous Names:** NEW YORK LIFE INSURANCE AND ANNUITY CORP

**Year of Incorporation/Organization**

- [x] Over Five Years Ago

- [ ] Within Last Five Years (Specify Year)

- [ ] Yet to Be Formed

**Entity Type**

- [x] Corporation

- [ ] Limited Partnership

- [ ] Limited Liability Company

- [ ] General Partnership

- [ ] Business Trust

- [ ] Other

### 2. Principal Place of Business and Contact Information

**Name of Issuer:** NEW YORK LIFE INSURANCE & ANNUITY CORP

**Street Address 1:** 51 MADISON AVENUE

**Street Address 2:** C/O NEW YORK LIFE INSURANCE COMPANY

**City:** NEW YORK

**State/Province/Country:** NY

**ZIP/Postal Code:** 10010

**Phone Number of Issuer:** 302-369-8500

### 3. Related Persons

| Last Name   | First Name   | Street Address 1   | City     | State   |   ZIP/Postal Code | Relationship                                          | Clarification of Response   |
|:---|:---|:---|:---|:---|---:|:---|:---|
| Kravitz     | Jodi         | 51 Madison Avenue  | New York | NY      |             10010 | [ ] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Hendry      | Thomas A.    | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Miller      | Amy          | 51 Madison Avenue  | New York | NY      |             10010 | [ ] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| McDonnell   | Michael      | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Feldstein   | Eric         | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Rubin       | Janis C.     | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[ ] Director<br>[ ] Promoter |  |
| Meade       | Colleen A.   | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[ ] Director<br>[ ] Promoter |  |
| DeSanto     | Craig L.     | 51 Madison Ave     | New York | NY      |             10010 | [x] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Gamble      | Michael A.   | 51 Madison Ave     | New York | NY      |             10010 | [x] Executive Officer<br>[ ] Director<br>[ ] Promoter |  |
| Anderson    | Erik A.      | 51 Madison Avenue  | New York | NY      |             10010 | [x] Executive Officer<br>[x] Director<br>[ ] Promoter |  |
| Sabal       | Craig A.     | 51 Madison Avenue  | New York | NY      |             10010 | [ ] Executive Officer<br>[x] Director<br>[ ] Promoter |  |

### 4. Industry Group

| | | |
|:---|:---|:---|
| [ ] Agriculture | [ ] Health Care | [ ] Retailing |
| [ ] Banking & Financial Services | [ ] Biotechnology | [ ] Restaurants |
|   [ ] Commercial Banking | [ ] Health Insurance | [ ] Technology |
|   [x] Insurance | [ ] Hospitals & Physicians |   [ ] Computers |
|   [ ] Investing | [ ] Pharmaceuticals |   [ ] Telecommunications |
|   [ ] Investment Banking | [ ] Other Health Care |   [ ] Other Technology |
|   [ ] Pooled Investment Fund | [ ] Manufacturing | [ ] Travel |
|     [ ] Hedge Fund | [ ] Real Estate |   [ ] Airlines & Airports |
|     [ ] Private Equity Fund |   [ ] Commercial |   [ ] Lodging & Conventions |
|     [ ] Venture Capital Fund |   [ ] Construction |   [ ] Tourism & Travel Services |
|     [ ] Other Investment Fund |   [ ] REITS & Finance |   [ ] Other Travel |
|   Is the issuer registered as an investment company? <br>  [ ] Yes [ ] No |   [ ] Residential | [ ] Other |
|   [ ] Other Banking & Financial Services |   [ ] Other Real Estate |  |
| [ ] Business Services |  |  |
| [ ] Energy |  |  |
|   [ ] Coal Mining |  |  |
|   [ ] Electric Utilities |  |  |
|   [ ] Energy Conservation |  |  |
|   [ ] Environmental Services |  |  |
|   [ ] Oil & Gas |  |  |
|   [ ] Other Energy |  |  |

### 5. Issuer Size

| **Revenue Range** | **OR** | **Aggregate Net Asset Value Range** |
|:---|:---:|:---|
| [ ] No Revenues | | [ ] No Aggregate Net Asset Value |
| [ ] $1 - $1,000,000 | | [ ] $1 - $5,000,000 |
| [ ] $1,000,001 - $5,000,000 | | [ ] $5,000,001 - $25,000,000 |
| [ ] $5,000,001 - $25,000,000 | | [ ] $25,000,001 - $50,000,000 |
| [ ] $25,000,001 - $100,000,000 | | [ ] $50,000,001 - $100,000,000 |
| [x] Over $100,000,000 | | [ ] Over $100,000,000 |
| [ ] Decline to Disclose | | [ ] Decline to Disclose |
| [ ] Not Applicable | | [ ] Not Applicable |

### 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

| | | |
|:---|:---|:---|
| [ ] Rule 504(b)(1) (not (i), (ii) or (iii)) | [x] Investment Company Act Section 3(c) |  |
| [ ] Rule 504(b)(1)(i) |   [x] Section 3(c)(1) |  |
| [ ] Rule 504(b)(1)(ii) |   [ ] Section 3(c)(2) |   [ ] Section 3(c)(9) |
| [ ] Rule 504(b)(1)(iii) |   [ ] Section 3(c)(3) |   [ ] Section 3(c)(10) |
| [ ] Rule 506(b) |   [ ] Section 3(c)(4) |   [ ] Section 3(c)(11) |
| [ ] Rule 506(c) |   [ ] Section 3(c)(5) |   [ ] Section 3(c)(12) |
| [ ] Securities Act Section 4(5) |   [ ] Section 3(c)(6) |   [ ] Section 3(c)(13) |
|  |   [x] Section 3(c)(7) |   [ ] Section 3(c)(14) |

### 7. Type of Filing

**New Notice:** [x] **Date of First Sale:** 1997-12-16

**Amendment:** [ ]

### 8. Duration of Offering

Does the issuer intend this offering to last more than one year? [x] Yes [ ] No

### 9. Type(s) of Securities Offered

- [ ] Equity
- [ ] Debt
- [ ] Option, Warrant or Other Right to Acquire Another Security
- [ ] Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
- [x] Pooled Investment Fund Interests
- [ ] Tenant-in-Common Securities
- [ ] Mineral Property Securities
- [x] Other (Interests in Universal Life Policy (BOLI 3))

### 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? [ ] Yes [x] No

### 11. Minimum Investment
**Minimum investment accepted from any outside investor:** $100000000 USD

### 12. Sales Compensation

| Recipient Name                        | Recipient CRD Number   | Associated BD Name                    |   Associated BD CRD Number | Street 1                    | Street 2         | City              | State   | ZIP Code   | States of Solicitation   | Foreign Solicitation   |
|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|
| Kenneth D. Miller                     | None                   | NYLIFE Securities Inc.                |                       5167 | 300 N. Greene Street        |  | Greensboro        | NC      | 27401      | All States               | [ ]                    |
| Raymond Schoenke                      | None                   | Schoenke & Associates Securities Corp |                      31245 | 20250 Century Blvd.         |  | Germantown        | MD      | 20874      |  | [ ]                    |
| Clark Consulting                      | None                   | Clark Securities Inc.                 |                      43803 | 2100 Ross Avenue            | Suite 2200       | Dallas            | TX      | 75201      | All States               | [ ]                    |
| TBG Financial& Insurance Services     | 26984                  | TBG Financial & Insurance Services    |                      26984 | 100 North Sepulveda Blvd.   | Suite 500        | El Segunda        | CA      | 90245      | All States               | [ ]                    |
| Executive Services Securities         | 25299                  | Executive Services Securities         |                      25299 | 3445 Peachtree Road N.E.    | Suite 200        | Atlanta           | GA      | 30326      |  | [ ]                    |
| Tower Square Securities Inc.          | 833                    | Tower Square Securities Inc.          |                        833 | 1095 Avenue of the Americas |  | New York          | NY      | 10036      | All States               | [ ]                    |
| FAS Corp.                             | 43536                  | FAS Corp.                             |                      43536 | 4747 West 135th Street      | Suite 100        | Leawood           | KS      | 66224      |  | [ ]                    |
| ValMark Securities, Inc.              | 31243                  | ValMark Securities, Inc.              |                      31243 | 130 Springside Drive        | Suite 300        | Akron             | OH      | 44333      | All States               | [ ]                    |
| Newport Group Securities, Inc.        | 29722                  | Newport Group Securities, Inc.        |                      29722 | 300 Primera Blvd.           | Suite 200        | Lake Mary         | FL      | 32746      | All States               | [ ]                    |
| NYLIFE Securities LLC                 | 5167                   | NYLIFE Securities LLC                 |                       5167 | 51 Madison Avenue           | Room 713         | New York          | NY      | 10010      | All States               | [ ]                    |
| Douglas Forstrom                      | 1155360                | NYLIFE Securities LLC                 |                       5167 | 208 West 2nd Street         |  | Fairmont          | MN      | 56031      |  | [ ]                    |
| Triad Insurance, Inc.                 | 25803                  | Triad Insurance, Inc.                 |                      25803 | 5155 Peachtree Parkway      |  | Peachtree Corners | GA      | 30092      | All States               | [ ]                    |
| Cetera Advisor Networks, LLC          | 13572                  | Cetera Advisor Networks, LLC          |                      13572 | 200 N Sepulveda Boulevard   |  | El Segundo        | CA      | 90245      | All States               | [ ]                    |
| Lincoln Financial Advisors Corp.      | 3978                   | Lincoln Financial Advisors Corp.      |                       3978 | 1301 South Harrison Street  | Suite 300        | Fort Wayne        | IN      | 46802      | All States               | [ ]                    |
| MML Investors Services, Inc.          | 10409                  | MML Investors Services, Inc.          |                      10409 | 1295 State Street           |  | Springfield       | MA      | 01111      | All States               | [ ]                    |
| Deutsche Bank Securities Inc.         | 2525                   | Deutsche Bank Securities Inc.         |                       2525 | 1 Columbus Circle           |  | New York          | NY      | 10019      | All States               | [ ]                    |
| Ross Securities Corporation           | 113796                 | Ross Securities Corporation           |                     113796 | 1270 Avenue of the Americas | 20th Floor       | New York          | NY      | 10020      |  | [ ]                    |
| Park Avenue Securities LLC            | 46173                  | Park Avenue Securities LLC            |                      46173 | 10 Hudson Yards             |  | New York          | NY      | 10001      | All States               | [ ]                    |
| M Holdings Securities Inc.            | 43285                  | M Holdings Securities Inc.            |                      43285 | 1125 N.W. Couch Street      | Suite 900        | Portland          | OR      | 97209      | All States               | [ ]                    |
| Wealth Preservation Associates LLC    | 35277                  | Wealth Preservation Associates LLC    |                      35277 | 521 Fifth Avenue            | 17th Floor       | New York          | NY      | 10175      | All States               | [ ]                    |
| NYLIFE Securities LLC                 | 5167                   | NYLIFE Securities LLC                 |                       5167 | 51 Madison Avenue           |  | New York          | NY      | 10010      | All States               | [ ]                    |
| First Liberties Financial             | 14432                  | First Liberties Financial             |                      14432 | 15150 Preston Road          | Suite 300        | Dallas            | TX      | 75248      |  | [ ]                    |
| Oglivie Security Advisors Corporation | 10105                  | Oglivie Security Advisors Corporation |                      10105 | 71 S Wacker                 | Suite 3025       | Chicago           | IL      | 60606      | All States               | [ ]                    |
| World Equity Group, Inc.              | 29087                  | World Equity Group, Inc.              |                      29087 | 425 N Martingale Road       | Suite 1220       | Schaumburg        | IL      | 60173      | All States               | [ ]                    |
| LPL Financial LLC                     | 6413                   | LPL Financial LLC                     |                       6413 | 1055 LPL Way                |  | Fort Mill         | SC      | 29715      | All States               | [ ]                    |
| Lion Street Financial                 | 165828                 | Lion Street Financial                 |                     165828 | 515 Congress Avenue         | Suite 2500       | Austin            | TX      | 78701-3509 | All States               | [ ]                    |
| Kestra Investment Services LLC        | 42046                  | Kestra Investment Services LLC        |                      42046 | 5707 Southwest Parkway      | Bldg 2 Suite 400 | Austin            | TX      | 78735      | All States               | [ ]                    |

### 13. Offering and Sales Amounts

**Total Offering Amount:** USD or [x] Indefinite

**Total Amount Sold:** $545,593,981 USD

**Total Remaining to be Sold:** USD or [x] Indefinite

### 14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering: [ ] Yes [x] No

**Total Number of Investors Already Invested:** 2

### 15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

**Sales Commissions** $3000000 USD

**Finders' Fees** $0 USD

### 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters: **$0 USD**

### Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

**Terms of Submission**

In submitting this notice, each issuer named above is:

* Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.

* Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated
officer of the State in which the issuer maintains its principal place of business and any State in which this notice is
filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any
notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any
Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to
the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in
connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust
Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or
regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place
of business or any State in which this notice is filed.

* Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

| Issuer                                 | Signature       | Name of Signer   | Title          | Date       |
|:---|:---|:---|:---|:---|
| NEW YORK LIFE INSURANCE & ANNUITY CORP | /s/ Janis Rubin | Janis Rubin      | Vice President | 2026-03-11 |

*Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.*