# EDGAR Filing Document

**Accession Number:** 0000787441
**File Stem:** 0001752724-23-001922
**Filing Date:** 2023-1
**Character Count:** 416602
**Document Hash:** 1271159bb3b2f8430178cb697dbfc187
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-001922.hdr.sgml**: 20230113

**ACCESSION NUMBER**: 0001752724-23-001922

**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
- **CENTRAL INDEX KEY:** 0000787441
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MA
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-04550
- **FILM NUMBER:** 23528446

**BUSINESS ADDRESS:**
- **STREET 1:** 51 MADISON AVE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10010
- **BUSINESS PHONE:** 2125767000

**MAIL ADDRESS:**
- **STREET 1:** 51 MADISON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10010

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MACKAY SHIELDS MAINSTAY SERIES FUND /NY/
- **DATE OF NAME CHANGE:** 19911126

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MACKAY SHIELDS SERIES FUND
- **DATE OF NAME CHANGE:** 19860506

## Series and Classes Contracts Data

### MainStay MacKay Strategic Bond Fund (Series ID: S000006894)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018685 | Class A        | MASAX           |
| C000018686 | Class B        | MASBX           |
| C000018687 | Class C        | MSICX           |
| C000018688 | Class I        | MSDIX           |
| C000060790 | INVESTOR CLASS | MSYDX           |
| C000138226 | Class R2       | MSIRX           |
| C000166834 | Class R3       | MSDJX           |
| C000185554 | Class R6       | MSYEX           |

### MainStay MacKay U.S. Infrastructure Bond Fund (Series ID: S000006895)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018689 | Class A        | MGVAX           |
| C000018690 | Class B        | MCSGX           |
| C000018691 | Class C        | MGVCX           |
| C000018692 | Class I        | MGOIX           |
| C000060791 | INVESTOR CLASS | MGVNX           |
| C000185556 | Class R6       | MGVDX           |

### MainStay MacKay High Yield Corporate Bond Fund (Series ID: S000006896)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018693 | Class A        | MHCAX           |
| C000018694 | Class B        | MKHCX           |
| C000018695 | Class C        | MYHCX           |
| C000018696 | Class I        | MHYIX           |
| C000057099 | Class R2       | MHYRX           |
| C000060792 | INVESTOR CLASS | MHHIX           |
| C000116272 | Class R1       | MHHRX           |
| C000127160 | Class R6       | MHYSX           |
| C000166835 | Class R3       | MHYTX           |
| C000221691 | SIMPLE CLASS   | MHHSX           |

### MainStay Money Market Fund (Series ID: S000006897)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018697 | Class A        | MMAXX           |
| C000018698 | Class B        | MKMXX           |
| C000018699 | Class C        | MSCXX           |
| C000060793 | INVESTOR CLASS | MKTXX           |
| C000221692 | SIMPLE CLASS   | MIPXX           |

### MainStay MacKay Tax Free Bond Fund (Series ID: S000006898)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018700 | Class A        | MTBAX           |
| C000018701 | Class B        | MKTBX           |
| C000018702 | Class C        | MTFCX           |
| C000060794 | INVESTOR CLASS | MKINX           |
| C000082082 | Class I        | MTBIX           |
| C000185560 | Class R6       | MTBDX           |
| C000221693 | Class C2       | MTSPX           |

### MainStay MacKay Convertible Fund (Series ID: S000006899)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018703 | Class A        | MCOAX           |
| C000018704 | Class B        | MCSVX           |
| C000018705 | Class C        | MCCVX           |
| C000060795 | INVESTOR CLASS | MCINX           |
| C000087595 | Class I        | MCNVX           |

### MainStay Income Builder Fund (Series ID: S000006900)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018706 | Class A        | MTRAX           |
| C000018707 | Class B        | MKTRX           |
| C000018708 | Class C        | MCTRX           |
| C000018709 | Class I        | MTOIX           |
| C000060796 | INVESTOR CLASS | MTINX           |
| C000153007 | Class R2       | MTXRX           |
| C000166836 | Class R3       | MTXVX           |
| C000185564 | Class R6       | MTODX           |
| C000221696 | SIMPLE CLASS   | MTISX           |

### MainStay Candriam Emerging Markets Debt Fund (Series ID: S000006901)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018710 | Class A        | MGHAX           |
| C000018711 | Class B        | MGHBX           |
| C000018712 | Class C        | MHYCX           |
| C000052120 | Class I        | MGHIX           |
| C000060797 | INVESTOR CLASS | MGHHX           |

### MainStay MacKay International Equity Fund (Series ID: S000006902)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018713 | Class A        | MSEAX           |
| C000018714 | Class B        | MINEX           |
| C000018715 | Class C        | MIECX           |
| C000018716 | Class I        | MSIIX           |
| C000018717 | Class R1       | MIERX           |
| C000018718 | Class R2       | MIRRX           |
| C000030957 | Class R3       | MIFRX           |
| C000060798 | INVESTOR CLASS | MINNX           |
| C000185568 | Class R6       | MIFDX           |

### MainStay WMC Enduring Capital Fund (Series ID: S000006903)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018719 | Class A        | MSOAX           |
| C000018720 | Class B        | MOPBX           |
| C000018721 | Class C        | MGOCX           |
| C000018722 | Class I        | MSOIX           |
| C000060799 | INVESTOR CLASS | MCSSX           |
| C000166837 | Class R3       | MSOSX           |
| C000179143 | Class R6       | MCSDX           |

### MainStay Winslow Large Cap Growth Fund (Series ID: S000006905)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018724 | Class A        | MLAAX           |
| C000018725 | Class B        | MLABX           |
| C000018726 | Class C        | MLACX           |
| C000018727 | Class I        | MLAIX           |
| C000018728 | Class R1       | MLRRX           |
| C000018729 | Class R2       | MLRTX           |
| C000030958 | Class R3       | MLGRX           |
| C000060800 | INVESTOR CLASS | MLINX           |
| C000127162 | Class R6       | MLRSX           |
| C000221700 | SIMPLE CLASS   | MLRMX           |

### MainStay WMC Value Fund (Series ID: S000006906)

| Class ID   | Class Name     | Ticker Symbol   |
|:---|:---|:---|
| C000018730 | Class A        | MAPAX           |
| C000018731 | Class B        | MAPBX           |
| C000018732 | Class C        | MMPCX           |
| C000018733 | Class I        | MUBFX           |
| C000018734 | Class R1       | MAPRX           |
| C000018735 | Class R2       | MPRRX           |
| C000030959 | Class R3       | MMAPX           |
| C000060801 | INVESTOR CLASS | MSMIX           |
| C000185571 | Class R6       | MMPDX           |

## Internal

```

Report of Independent Registered Public Accounting Firm

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

In planning and performing our audits of the financial statements of The
MainStay Funds (the Funds), comprised of the MainStay WMC Enduring Capital
Fund, MainStay MacKay Convertible Fund, MainStay Candriam Emerging Markets
Debt Fund, MainStay MacKay U.S. Infrastructure Bond Fund, MainStay MacKay
High Yield Corporate Bond Fund, MainStay Income Builder Fund, MainStay MacKay
International Equity Fund, MainStay Winslow Large Cap Growth Fund, MainStay
WMC Value Fund, MainStay Money Market Fund, MainStay MacKay Tax Free Bond
Fund, and MainStay MacKay Strategic Bond Fund 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 The MainStay Funds 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:** 0000787441

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

**Series ID Record:1**
- **Series ID:** S000006897

**Series ID Record:2**
- **Series ID:** S000006906

**Series ID Record:3**
- **Series ID:** S000006894

**Series ID Record:4**
- **Series ID:** S000006903

**Series ID Record:5**
- **Series ID:** S000006900

**Series ID Record:6**
- **Series ID:** S000006901

**Series ID Record:7**
- **Series ID:** S000006899

**Series ID Record:8**
- **Series ID:** S000006896

**Series ID Record:9**
- **Series ID:** S000006905

**Series ID Record:10**
- **Series ID:** S000006895

**Series ID Record:11**
- **Series ID:** S000006902

**Series ID Record:12**
- **Series ID:** S000006898

**Class ID Record:1**
- **Class ID:** C000221692

**Class ID Record:2**
- **Class ID:** C000018699

**Class ID Record:3**
- **Class ID:** C000018697

**Class ID Record:4**
- **Class ID:** C000060793

**Class ID Record:5**
- **Class ID:** C000018698

**Class ID Record:6**
- **Class ID:** C000018734

**Class ID Record:7**
- **Class ID:** C000018732

**Class ID Record:8**
- **Class ID:** C000185571

**Class ID Record:9**
- **Class ID:** C000018733

**Class ID Record:10**
- **Class ID:** C000060801

**Class ID Record:11**
- **Class ID:** C000018730

**Class ID Record:12**
- **Class ID:** C000018735

**Class ID Record:13**
- **Class ID:** C000030959

**Class ID Record:14**
- **Class ID:** C000018731

**Class ID Record:15**
- **Class ID:** C000018686

**Class ID Record:16**
- **Class ID:** C000185554

**Class ID Record:17**
- **Class ID:** C000018687

**Class ID Record:18**
- **Class ID:** C000018688

**Class ID Record:19**
- **Class ID:** C000166834

**Class ID Record:20**
- **Class ID:** C000018685

**Class ID Record:21**
- **Class ID:** C000138226

**Class ID Record:22**
- **Class ID:** C000060790

**Class ID Record:23**
- **Class ID:** C000060799

**Class ID Record:24**
- **Class ID:** C000018719

**Class ID Record:25**
- **Class ID:** C000018722

**Class ID Record:26**
- **Class ID:** C000018720

**Class ID Record:27**
- **Class ID:** C000018721

**Class ID Record:28**
- **Class ID:** C000166837

**Class ID Record:29**
- **Class ID:** C000179143

**Class ID Record:30**
- **Class ID:** C000221696

**Class ID Record:31**
- **Class ID:** C000166836

**Class ID Record:32**
- **Class ID:** C000153007

**Class ID Record:33**
- **Class ID:** C000018707

**Class ID Record:34**
- **Class ID:** C000018706

**Class ID Record:35**
- **Class ID:** C000018708

**Class ID Record:36**
- **Class ID:** C000060796

**Class ID Record:37**
- **Class ID:** C000185564

**Class ID Record:38**
- **Class ID:** C000018709

**Class ID Record:39**
- **Class ID:** C000018712

**Class ID Record:40**
- **Class ID:** C000052120

**Class ID Record:41**
- **Class ID:** C000060797

**Class ID Record:42**
- **Class ID:** C000018711

**Class ID Record:43**
- **Class ID:** C000018710

**Class ID Record:44**
- **Class ID:** C000060795

**Class ID Record:45**
- **Class ID:** C000018703

**Class ID Record:46**
- **Class ID:** C000018704

**Class ID Record:47**
- **Class ID:** C000087595

**Class ID Record:48**
- **Class ID:** C000018705

**Class ID Record:49**
- **Class ID:** C000116272

**Class ID Record:50**
- **Class ID:** C000221691

**Class ID Record:51**
- **Class ID:** C000018693

**Class ID Record:52**
- **Class ID:** C000018696

**Class ID Record:53**
- **Class ID:** C000060792

**Class ID Record:54**
- **Class ID:** C000127160

**Class ID Record:55**
- **Class ID:** C000057099

**Class ID Record:56**
- **Class ID:** C000018695

**Class ID Record:57**
- **Class ID:** C000166835

**Class ID Record:58**
- **Class ID:** C000018694

**Class ID Record:59**
- **Class ID:** C000018724

**Class ID Record:60**
- **Class ID:** C000018728

**Class ID Record:61**
- **Class ID:** C000018729

**Class ID Record:62**
- **Class ID:** C000030958

**Class ID Record:63**
- **Class ID:** C000018726

**Class ID Record:64**
- **Class ID:** C000018727

**Class ID Record:65**
- **Class ID:** C000221700

**Class ID Record:66**
- **Class ID:** C000127162

**Class ID Record:67**
- **Class ID:** C000018725

**Class ID Record:68**
- **Class ID:** C000060800

**Class ID Record:69**
- **Class ID:** C000060791

**Class ID Record:70**
- **Class ID:** C000018692

**Class ID Record:71**
- **Class ID:** C000018691

**Class ID Record:72**
- **Class ID:** C000018690

**Class ID Record:73**
- **Class ID:** C000018689

**Class ID Record:74**
- **Class ID:** C000185556

**Class ID Record:75**
- **Class ID:** C000018716

**Class ID Record:76**
- **Class ID:** C000018713

**Class ID Record:77**
- **Class ID:** C000030957

**Class ID Record:78**
- **Class ID:** C000018715

**Class ID Record:79**
- **Class ID:** C000018717

**Class ID Record:80**
- **Class ID:** C000185568

**Class ID Record:81**
- **Class ID:** C000060798

**Class ID Record:82**
- **Class ID:** C000018718

**Class ID Record:83**
- **Class ID:** C000018714

**Class ID Record:84**
- **Class ID:** C000018702

**Class ID Record:85**
- **Class ID:** C000185560

**Class ID Record:86**
- **Class ID:** C000221693

**Class ID Record:87**
- **Class ID:** C000082082

**Class ID Record:88**
- **Class ID:** C000018700

**Class ID Record:89**
- **Class ID:** C000018701

**Class ID Record:90**
- **Class ID:** C000060794

### 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

- **Item B.1.b - Investment Company Act file number:** 811-04550

- **Item B.1.c - CIK:** 0000787441

- **Item B.1.d - LEI:** 549300PAI7XEJSNBJ671

- **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:** 12

- **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                                                                |
|:---|:---|:---|
| Jacques P. Perold   | No                      | 811-22321, 811-23654, 811-22551, 811-03833-01                                                        |
| Richard S. Trutanic | No                      | 811-22551, 811-22321, 811-03833-01, 811-23654                                                        |
| Alan R. Latshaw     | No                      | 811-03833-01, 811-01519, 811-22321, 811-23654, 811-22551, 811-10027                                  |
| Susan B. Kerley     | No                      | 811-06740, 811-23654, 811-04254, 811-22551, 811-06310, 811-22321, 811-03833-01, 811-04052, 811-05812 |
| Karen Hammond       | No                      | 811-22321, 811-22551                                                                                 |
| David H. Chow       | No                      | 811-10325, 811-03833-01, 811-23654, 811-22551, 811-22321                                             |

### 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-15758
  - IC-17318
  - IC-32190
  - 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

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - MainStay Money Market Fund

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

- **a. Full Name of the Fund:** MainStay Money Market Fund

- **b. Series identification number, if any:** S000006897

- **c. LEI:** 5493000843752EBAT481

- **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 | SIMPLE CLASS            | C000221692                                | MIPXX                        |
|                           2 | Class C                 | C000018699                                | MSCXX                        |
|                           3 | Class A                 | C000018697                                | MMAXX                        |
|                           4 | INVESTOR CLASS          | C000060793                                | MKTXX                        |
|                           5 | Class B                 | C000018698                                | MKMXX                        |

**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

**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 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:** 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:** 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 ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BMO Capital Markets Corp.     | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $600,811,495.17           |
| TD SECURITIES (USA) LLC       | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $6,324,957,750.00         |
| RBC Capital Markets, LLC      | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $1,715,080,716.31         |
| J.P. Morgan Securities LLC    | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $1,305,658,743.47         |
| BofA Securities, Inc.         | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $1,292,167,158.39         |
| Citigroup Global Markets Inc. | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $608,492,598.82           |
| Wells Fargo Securities, LLC   | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $338,953,527.09           |
| Barclays Capital, Inc.        | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $475,432,761.30           |
| Mizuho Securities USA LLC     | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $403,167,970.76           |
| Goldman Sachs & Co. LLC       | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $688,718,412.01           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $14,564,488,401.14

- **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:** $452,308,678.00

**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: 2 - MainStay WMC Value Fund

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

- **a. Full Name of the Fund:** MainStay WMC Value Fund

- **b. Series identification number, if any:** S000006906

- **c. LEI:** 5493003Y7K55IDIMKI62

- **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 R1                | C000018734                                | MAPRX                        |
|                           2 | Class C                 | C000018732                                | MMPCX                        |
|                           3 | Class R6                | C000185571                                | MMPDX                        |
|                           4 | Class I                 | C000018733                                | MUBFX                        |
|                           5 | INVESTOR CLASS          | C000060801                                | MSMIX                        |
|                           6 | Class A                 | C000018730                                | MAPAX                        |
|                           7 | Class R2                | C000018735                                | MPRRX                        |
|                           8 | Class R3                | C000030959                                | MMAPX                        |
|                           9 | Class B                 | C000018731                                | MAPBX                        |

**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:** $0.00

- **g. Provide the net income from securities lending activities:** $6,024.00

**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:** 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:** 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:** 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:** $8,227.88

**Brokers Record: 2**

- **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:** $9,478.57

**Brokers Record: 3**

- **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:** $11,997.53

**Brokers Record: 4**

- **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:** $20,264.12

**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:** $10,511.30

**Brokers Record: 6**

- **i. Full name of broker:** BMO Capital Markets Corp.

- **ii. SEC file number:** 8-34344

- **iii. CRD number:** 000016686

- **iv. LEI, if any:** RUC0QBLBRPRCU4W1NE59

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,214.35

**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:** $8,841.31

**Brokers Record: 8**

- **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:** $9,121.91

**Brokers Record: 9**

- **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:** $15,167.37

**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:** $20,038.71

**Aggregate Commission:** $153,404.20

**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        | $448,060,132.71           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $448,060,132.71

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,032,041,979.00

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

- **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 Conservative Allocation Fund                     | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay S&P 500 Index 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 Tax Free Bond Fund                        | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Conservative Allocation 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: 3 - MainStay MacKay Strategic Bond Fund

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

- **a. Full Name of the Fund:** MainStay MacKay Strategic Bond Fund

- **b. Series identification number, if any:** S000006894

- **c. LEI:** UCPN6MSNKJS3O5E29B57

- **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 B                 | C000018686                                | MASBX                        |
|                           2 | Class R6                | C000185554                                | MSYEX                        |
|                           3 | Class C                 | C000018687                                | MSICX                        |
|                           4 | Class I                 | C000018688                                | MSDIX                        |
|                           5 | Class R3                | C000166834                                | MSDJX                        |
|                           6 | Class A                 | C000018685                                | MASAX                        |
|                           7 | Class R2                | C000138226                                | MSIRX                        |
|                           8 | INVESTOR CLASS          | C000060790                                | MSYDX                        |

**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:** $9,880,164.13

- **g. Provide the net income from securities lending activities:** $75,694.00

**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 32a-4 (17 CFR 270.32a-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?** 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:** 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:** 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:** 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:** 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: 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:** 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: 5**

- **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: 6**

- **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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 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:** 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: 13**

- **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: 14**

- **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: 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:** 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:** 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: 18**

- **i. Full name:** Stanbic IBTC Bank Plc

- **ii. LEI, if any:** 029200098C3K8BI2D551

- **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:** 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: 20**

- **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: 21**

- **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: 22**

- **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)

- **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:** $52,262.28

**Aggregate Commission:** $52,262.28

**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        | $170,085,067.14           |
| Amherst Pierpont Securities LLC                        | 8-68282           | 000150696    | 549300LGG2RLWD21SU97 | NY      | US        | $94,054,359.88            |
| Barclays Capital, Inc.                                 | 8-41342           | 000019714    | AC28XWWI3WIBK2824319 | NY      | US        | $95,892,470.15            |
| Citigroup Global Markets Inc.                          | 8-08177           | 000007059    | MBNUM2BPBDO7JBLYG310 | NY      | US        | $85,326,963.51            |
| Wells Fargo Securities, LLC                            | 8-65876           | 000126292    | VYVVCKR63DVZZN70PB21 | NC      | US        | $54,379,939.54            |
| Citadel Securities LLC                                 | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $150,617,371.51           |
| Goldman Sachs & Co. LLC                                | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $68,003,305.65            |
| J.P. Morgan Securities LLC                             | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $849,894,477.76           |
| The Hong Kong and Shanghai Banking Corporation Limited | N/A               | N/A          | 2HI3YI5320L3RW6NJ957 |  |  | $51,885,179.26            |
| ROBERT W. BAIRD & CO. INCORPORATED                     | 8-00497           | 000008158    | 549300772UJAHRD6LO53 | WI      | US        | $25,061,128.10            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,877,886,942.82

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

- **Item C.19.a - Fund's monthly average net assets:** $695,501,336.00

**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 New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Bond 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 Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Epoch U.S. Equity 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 T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay Convertible 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?** 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 Global Equity Yield Fund                   | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Candriam Emerging Markets Debt 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 Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Growth 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 WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch International Choice 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: 4 - MainStay WMC Enduring Capital Fund

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

- **a. Full Name of the Fund:** MainStay WMC Enduring Capital Fund

- **b. Series identification number, if any:** S000006903

- **c. LEI:** 549300C9NYJNUBU08U82

- **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          | C000060799                                | MCSSX                        |
|                           2 | Class A                 | C000018719                                | MSOAX                        |
|                           3 | Class I                 | C000018722                                | MSOIX                        |
|                           4 | Class B                 | C000018720                                | MOPBX                        |
|                           5 | Class C                 | C000018721                                | MGOCX                        |
|                           6 | Class R3                | C000166837                                | MSOSX                        |
|                           7 | Class R6                | C000179143                                | MCSDX                        |

**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:** $468.67

- **g. Provide the net income from securities lending activities:** $1,928.00

**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 17a-8 (17 CFR 270.17a-8)

- 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:** 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:** 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:** 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:** 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:** 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))

**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:** 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:** 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:** $953.00

**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:** $151.87

**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:** $829.37

**Brokers Record: 4**

- **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:** $381.34

**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:** $795.48

**Brokers Record: 6**

- **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:** $170.53

**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:** $120.46

**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:** $287.90

**Brokers Record: 9**

- **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:** $557.05

**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:** $379.06

**Aggregate Commission:** $5,018.08

**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        | $112,160,168.21           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $112,160,168.21

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $587,466,637.00

**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 Conservative Allocation Fund                     | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP MacKay Government 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 Conservative Allocation 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?** 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 Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Candriam Emerging Markets Equity 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: 5 - MainStay Income Builder Fund

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

- **a. Full Name of the Fund:** MainStay Income Builder Fund

- **b. Series identification number, if any:** S000006900

- **c. LEI:** KRQ4HNYE4YC2FPWTOC56

- **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 | SIMPLE CLASS            | C000221696                                | MTISX                        |
|                           2 | Class R3                | C000166836                                | MTXVX                        |
|                           3 | Class R2                | C000153007                                | MTXRX                        |
|                           4 | Class B                 | C000018707                                | MKTRX                        |
|                           5 | Class A                 | C000018706                                | MTRAX                        |
|                           6 | Class C                 | C000018708                                | MCTRX                        |
|                           7 | INVESTOR CLASS          | C000060796                                | MTINX                        |
|                           8 | Class R6                | C000185564                                | MTODX                        |
|                           9 | Class I                 | C000018709                                | MTOIX                        |

**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:** $17,581,280.03

- **g. Provide the net income from securities lending activities:** $151,905.00

**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?** 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:** 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:** 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:** 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: 2**

- **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: 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:** 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:** 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: 6**

- **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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 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:** 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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 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:** 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: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **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: 26**

- **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: 27**

- **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: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **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: 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:** 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: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **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:** 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:** 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:** $11,473.34

**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:** $42,641.33

**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:** $36,852.70

**Brokers Record: 4**

- **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:** $23,448.85

**Brokers Record: 5**

- **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:** $24,011.16

**Brokers Record: 6**

- **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:** $152,529.85

**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:** $20,355.13

**Brokers Record: 8**

- **i. Full name of broker:** Cowen Execution Services LLC

- **ii. SEC file number:** 8-46838

- **iii. CRD number:** 000035693

- **iv. LEI, if any:** 5493005RJDJD18OPUP27

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,249.06

**Brokers Record: 9**

- **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:** $22,810.89

**Brokers Record: 10**

- **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:** $52,762.46

**Aggregate Commission:** $493,672.03

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

| Name                                                   | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| Barclays Capital, Inc.                                 | 8-41342           | 000019714    | AC28XWWI3WIBK2824319 | NY      | US        | $65,732,030.44            |
| Wells Fargo Securities, LLC                            | 8-65876           | 000126292    | VYVVCKR63DVZZN70PB21 | NC      | US        | $41,420,440.76            |
| BofA Securities, Inc.                                  | 8-69787           | 000283942    | 549300HN4UKV1E2R3U73 | NY      | US        | $197,565,788.26           |
| ROBERT W. BAIRD & CO. INCORPORATED                     | 8-00497           | 000008158    | 549300772UJAHRD6LO53 | WI      | US        | $35,396,514.43            |
| Amherst Pierpont Securities LLC                        | 8-68282           | 000150696    | 549300LGG2RLWD21SU97 | NY      | US        | $34,067,214.14            |
| Citigroup Global Markets Inc.                          | 8-08177           | 000007059    | MBNUM2BPBDO7JBLYG310 | NY      | US        | $90,752,589.49            |
| Goldman Sachs & Co. LLC                                | 8-00129           | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $60,953,154.16            |
| The Hong Kong and Shanghai Banking Corporation Limited | N/A               | N/A          | 2HI3YI5320L3RW6NJ957 |  |  | $32,055,906.11            |
| J.P. Morgan Securities LLC                             | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $1,423,575,783.92         |
| Citadel Securities LLC                                 | 8-53574           | 000116797    | 12UUJYTN7D3SW8KCSG25 | IL      | US        | $101,959,517.35           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,374,584,086.59

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,474,625,141.00

**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 MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| Mainstay Short Term Bond 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 Growth Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay WMC Small Companies 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 Total Return Bond 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 Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities 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: 6 - MainStay Candriam Emerging Markets Debt Fund

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

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

- **b. Series identification number, if any:** S000006901

- **c. LEI:** DHY67FS98KZU23D51C86

- **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 C                 | C000018712                                | MHYCX                        |
|                           2 | Class I                 | C000052120                                | MGHIX                        |
|                           3 | INVESTOR CLASS          | C000060797                                | MGHHX                        |
|                           4 | Class B                 | C000018711                                | MGHBX                        |
|                           5 | Class A                 | C000018710                                | MGHAX                        |

**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:** $2,464,584.87

- **g. Provide the net income from securities lending activities:** $21,100.00

**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 32a-4 (17 CFR 270.32a-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?** 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:** Candriam

- **ii. SEC file number:** 801-80510

- **iii. CRD number:** 000000000

- **iv. LEI, if any:** 549300XGY5ASDHYKF231

- **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:** 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:** 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: 2**

- **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: 3**

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

- **ii. LEI, if any:** 549300WFGKTC3MGDCX95

- **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:** 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: 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:** 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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 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:** 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: 13**

- **i. Full name:** Unicredit Bank Srbija a.d.

- **ii. LEI, if any:** 52990001O0THU00TYK59

- **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:** 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: 15**

- **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: 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:** 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: 18**

- **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: 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:** 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: 21**

- **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: 22**

- **i. Full name:** Standard Chartered Bank Zambia Plc

- **ii. LEI, if any:** 549300247QDZHDI30A83

- **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:** 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: 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 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: 27**

- **i. Full name:** Stanbic IBTC Bank Plc

- **ii. LEI, if any:** 029200098C3K8BI2D551

- **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:** 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: 29**

- **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: 30**

- **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: 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:** 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: 33**

- **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: 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:** Banco Itau Uruguay S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **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)

**Custodians Record: 37**

- **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:** 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:** 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:** $65.34

**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:** $3,182.24

**Brokers Record: 3**

- **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:** $75.60

**Aggregate Commission:** $3,323.18

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

| Name                          | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Deutsche Bank Securities Inc. | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $5,527,427.00             |
| Barclays Capital, Inc.        | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $14,269,677.32            |
| BNP Paribas Securities Corp.  | 8-32682           |    000015794 | RCNB6OTYUAMMP879YW96 | NY      | US        | $6,705,294.78             |
| Jefferies LLC                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $31,357,710.18            |
| BofA Securities, Inc.         | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $19,886,815.55            |
| J.P. Morgan Securities LLC    | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $29,934,985.95            |
| Citigroup Global Markets Inc. | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $13,265,079.03            |
| Goldman Sachs & Co. LLC       | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $16,914,739.38            |
| HSBC Securities (USA) Inc.    | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $15,906,973.06            |
| Morgan Stanley & Co. LLC      | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $20,674,825.43            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $193,606,824.10

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

- **Item C.19.a - Fund's monthly average net assets:** $81,905,794.00

**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 Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| 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 VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay Conservative Allocation 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 Bond Portfolio                                | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay CBRE Global Infrastructure 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 VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay WMC Enduring Capital 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?** 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 VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| 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 ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP MacKay Convertible 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: 7 - MainStay MacKay Convertible Fund

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

- **a. Full Name of the Fund:** MainStay MacKay Convertible Fund

- **b. Series identification number, if any:** S000006899

- **c. LEI:** 5493003UBW3QX2D8RN79

- **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 | INVESTOR CLASS          | C000060795                                | MCINX                        |
|                           2 | Class A                 | C000018703                                | MCOAX                        |
|                           3 | Class B                 | C000018704                                | MCSVX                        |
|                           4 | Class I                 | C000087595                                | MCNVX                        |
|                           5 | Class C                 | C000018705                                | MCCVX                        |

**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:** $120,711,311.62

- **g. Provide the net income from securities lending activities:** $1,630,141.00

**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 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?** 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:** 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:** 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:** 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:** 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))

**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)

- **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:** Piper Sandler & Co.

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,085.85

**Brokers Record: 2**

- **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:** $31.77

**Brokers Record: 3**

- **i. Full name of broker:** Johnson Rice & Company L.L.C.

- **ii. SEC file number:** 8-37567

- **iii. CRD number:** 000019524

- **iv. LEI, if any:** 5493002HOBQXDBY8GG36

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,609.77

**Brokers Record: 4**

- **i. Full name of broker:** SVB Leerink LLC

- **ii. SEC file number:** 8-48535

- **iii. CRD number:** 000039011

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,176.90

**Aggregate Commission:** $39,904.29

**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        | $33,225,340.81            |
| Deutsche Bank Securities Inc.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $19,830,894.26            |
| Wells Fargo Securities, LLC        | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $29,359,464.31            |
| Credit Suisse Securities (USA) LLC | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $35,711,969.53            |
| Jane Street Capital, LLC           | 8-52275           |    000103782 | 549300ZM16HMPEPNV857 | NY      | US        | $18,053,385.44            |
| Evercore Group L.L.C.              | 8-49830           |    000042405 | 5493008F0LRLS5N8LZ81 | NY      | US        | $33,489,555.53            |
| Citigroup Global Markets Inc.      | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $118,799,314.16           |
| J.P. Morgan Securities LLC         | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $994,549,301.44           |
| Jefferies LLC                      | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $20,119,334.52            |
| Goldman Sachs & Co. LLC            | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $13,911,875.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,373,053,354.16

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

- **Item C.19.a - Fund's monthly average net assets:** $1,766,957,247.00

**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 Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities 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 MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP Equity Allocation 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 Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay WMC International Research Equity 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 MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| 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 MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Small 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: 8 - MainStay MacKay High Yield Corporate Bond Fund

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

- **a. Full Name of the Fund:** MainStay MacKay High Yield Corporate Bond Fund

- **b. Series identification number, if any:** S000006896

- **c. LEI:** 549300Y73VYUL00YQH40

- **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 R1                | C000116272                                | MHHRX                        |
|                           2 | SIMPLE CLASS            | C000221691                                | MHHSX                        |
|                           3 | Class A                 | C000018693                                | MHCAX                        |
|                           4 | Class I                 | C000018696                                | MHYIX                        |
|                           5 | INVESTOR CLASS          | C000060792                                | MHHIX                        |
|                           6 | Class R6                | C000127160                                | MHYSX                        |
|                           7 | Class R2                | C000057099                                | MHYRX                        |
|                           8 | Class C                 | C000018695                                | MYHCX                        |
|                           9 | Class R3                | C000166835                                | MHYTX                        |
|                          10 | Class B                 | C000018694                                | MKHCX                        |

**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 32a-4 (17 CFR 270.32a-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?** 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:** 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:** 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: 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:** 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:** 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:** 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:** 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:** 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:** $12.50

**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:** $1,353.84

**Aggregate Commission:** $1,366.34

**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        | $455,543,760.85           |
| Jefferies LLC                      | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $89,802,404.47            |
| RBC Capital Markets, LLC           | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $99,627,804.20            |
| BofA Securities, Inc.              | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $531,212,408.10           |
| Wells Fargo Securities, LLC        | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $127,686,850.60           |
| Barclays Capital, Inc.             | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $174,486,889.76           |
| Goldman Sachs & Co. LLC            | 8-00129           |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $280,731,207.46           |
| Citigroup Global Markets Inc.      | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $181,673,938.35           |
| Credit Suisse Securities (USA) LLC | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $115,755,296.45           |
| Morgan Stanley & Co. LLC           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $127,483,473.50           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,582,131,093.47

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

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

- **a. Full Name of the Fund:** MainStay Winslow Large Cap Growth Fund

- **b. Series identification number, if any:** S000006905

- **c. LEI:** 549300M3WRI6CMX2WP65

- **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 A                 | C000018724                                | MLAAX                        |
|                           2 | Class R1                | C000018728                                | MLRRX                        |
|                           3 | Class R2                | C000018729                                | MLRTX                        |
|                           4 | Class R3                | C000030958                                | MLGRX                        |
|                           5 | Class C                 | C000018726                                | MLACX                        |
|                           6 | Class I                 | C000018727                                | MLAIX                        |
|                           7 | SIMPLE CLASS            | C000221700                                | MLRMX                        |
|                           8 | Class R6                | C000127162                                | MLRSX                        |
|                           9 | Class B                 | C000018725                                | MLABX                        |
|                          10 | INVESTOR CLASS          | C000060800                                | MLINX                        |

**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:** $6,151,011.04

- **g. Provide the net income from securities lending activities:** $20,607.00

**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 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:** Winslow Capital Management, Inc.

- **ii. SEC file number:** 801-41316

- **iii. CRD number:** 000106940

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

- **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:** 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:** 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:** Evercore Group L.L.C.

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $124,174.20

**Brokers Record: 2**

- **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:** $588,973.68

**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:** $147,003.09

**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:** $373,081.59

**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:** $221,378.82

**Brokers Record: 6**

- **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:** $422,982.72

**Brokers Record: 7**

- **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:** $384,564.21

**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:** $204,367.71

**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:** $617,012.73

**Brokers Record: 10**

- **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:** $225,435.33

**Aggregate Commission:** $3,746,106.01

**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        | $6,763,774,693.80         |
| Morgan Stanley & Co. LLC   | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $116,688,000.00           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $6,880,462,693.80

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $13,307,185,107.00

**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 Equity ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Epoch U.S. Equity Yield 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 Government Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Conservative ETF Allocation 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: 10 - MainStay MacKay U.S. Infrastructure Bond Fund

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

- **a. Full Name of the Fund:** MainStay MacKay U.S. Infrastructure Bond Fund

- **b. Series identification number, if any:** S000006895

- **c. LEI:** 549300VGQDBBMXRHHU10

- **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 | INVESTOR CLASS          | C000060791                                | MGVNX                        |
|                           2 | Class I                 | C000018692                                | MGOIX                        |
|                           3 | Class C                 | C000018691                                | MGVCX                        |
|                           4 | Class B                 | C000018690                                | MCSGX                        |
|                           5 | Class A                 | C000018689                                | MGVAX                        |
|                           6 | Class R6                | C000185556                                | MGVDX                        |

**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:** 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:** 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.**

**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:** $7,334.25

**Aggregate Commission:** $7,334.25

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

| Name                          | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| Barclays Capital, Inc.        | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $53,546,124.40            |
| UBS Securities LLC            | 8-22651           |    000007654 | T6FIZBDPKLYJKFCRVK44 | NY      | US        | $67,646,309.95            |
| TD SECURITIES (USA) LLC       | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $74,353,562.50            |
| RBC Capital Markets, LLC      | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $56,862,133.50            |
| MarketAxess Corporation       | 8-50727           |    000044542 | GPSMMRI21JE7ZCVYF972 | NY      | US        | $61,038,971.75            |
| J.P. Morgan Securities LLC    | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $1,248,368,426.38         |
| Citigroup Global Markets Inc. | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $160,573,204.90           |
| Jane Street Capital, LLC      | 8-52275           |    000103782 | 549300ZM16HMPEPNV857 | NY      | US        | $54,814,376.05            |
| BofA Securities, Inc.         | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $64,992,523.35            |
| Wells Fargo Securities, LLC   | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $505,941,457.03           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,953,232,200.51

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

- **Item C.19.a - Fund's monthly average net assets:** $576,192,413.00

**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 Equity ETF Allocation Fund                       | 811-22321         |
| MainStay Conservative 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 IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay VP Wellington Mid Cap 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 Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP T. Rowe Price Equity Income Portfolio         | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay MacKay International Equity Fund                 | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay Balanced Fund                                    | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Wellington Small 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: 11 - MainStay MacKay International Equity Fund

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

- **a. Full Name of the Fund:** MainStay MacKay International Equity Fund

- **b. Series identification number, if any:** S000006902

- **c. LEI:** 549300OR4MUE4BMB6T69

- **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 I                 | C000018716                                | MSIIX                        |
|                           2 | Class A                 | C000018713                                | MSEAX                        |
|                           3 | Class R3                | C000030957                                | MIFRX                        |
|                           4 | Class C                 | C000018715                                | MIECX                        |
|                           5 | Class R1                | C000018717                                | MIERX                        |
|                           6 | Class R6                | C000185568                                | MIFDX                        |
|                           7 | INVESTOR CLASS          | C000060798                                | MINNX                        |
|                           8 | Class R2                | C000018718                                | MIRRX                        |
|                           9 | Class B                 | C000018714                                | MINEX                        |

**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:** $3,460,262.77

- **g. Provide the net income from securities lending activities:** $52,831.00

**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(c)(4) (17CFR 270.18f-4(c)(4))

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

- 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:** 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:** 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:** 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: 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:** 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: 4**

- **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: 5**

- **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: 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:** 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: 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:** 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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **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: 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:** 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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 23**

- **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: 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

- **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: 26**

- **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: 27**

- **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: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **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: 32**

- **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: 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:** 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: 35**

- **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: 36**

- **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: 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:** 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: 39**

- **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: 40**

- **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: 41**

- **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: 42**

- **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: 43**

- **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: 44**

- **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:** 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:** 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:** $97,121.54

**Brokers Record: 2**

- **i. Full name of broker:** Pershing LLC

- **ii. SEC file number:** 8-17574

- **iii. CRD number:** 000007560

- **iv. LEI, if any:** ZI8Q1A8EI8LQFJNM0D94

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $103,007.03

**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:** $66,908.85

**Brokers Record: 4**

- **i. Full name of broker:** Joh. Berenberg, Gossler & Co. KG

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

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

- **iv. LEI, if any:** 529900UC2OD7II24Z667

- **vii. Gross commissions paid by the Fund for the reporting period:** $95,211.44

**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:** $102,332.66

**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:** $55,215.19

**Brokers Record: 7**

- **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:** $62,550.82

**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:** $38,366.68

**Brokers Record: 9**

- **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:** $70,287.82

**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:** $61,794.05

**Aggregate Commission:** $956,943.48

**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        | $103,969,612.12           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $103,969,612.12

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $359,473,086.00

**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 Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay Floating Rate Fund                               | 811-22321         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay MacKay New York Tax Free Opportunities Fund      | 811-22321         |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay VP Small Cap Growth Portfolio                    | 811-03833-01      |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay CBRE Global Infrastructure Fund                  | 811-22321         |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay U.S. Infrastructure Bond Fund             | 811-04550         |
| MainStay Balanced Fund                                    | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| MainStay VP MacKay High Yield Corporate Bond Portfolio    | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| 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 VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay High Yield Municipal Bond Fund            | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay WMC International Research Equity 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 MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay VP Balanced Portfolio                            | 811-03833-01      |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP T. Rowe Price Equity Income 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 Floating Rate Fund                               | 811-22321         |
| MainStay Epoch International Choice Fund                  | 811-22321         |
| MainStay S&P 500 Index Fund                               | 811-22321         |
| MainStay VP MacKay S&P 500 Index Portfolio                | 811-03833-01      |
| MainStay MacKay Tax Free Bond Fund                        | 811-04550         |
| MainStay VP MacKay Convertible Portfolio                  | 811-03833-01      |
| MainStay Epoch Capital Growth Fund                        | 811-22321         |
| MainStay VP Conservative Allocation Portfolio             | 811-03833-01      |
| MainStay VP Income Builder Portfolio                      | 811-03833-01      |
| MainStay VP Janus Henderson Balanced Portfolio            | 811-03833-01      |
| MainStay Equity Allocation Fund                           | 811-22321         |
| MainStay Candriam Emerging Markets Debt Fund              | 811-04550         |
| MainStay Candriam Emerging Markets Equity Fund            | 811-22321         |
| MainStay VP Wellington Small Cap Portfolio                | 811-03833-01      |
| MainStay CBRE Real Estate Fund                            | 811-22321         |
| MainStay Equity ETF Allocation Fund                       | 811-22321         |
| MainStay VP Moderate Allocation Portfolio                 | 811-03833-01      |
| MainStay WMC Value Fund                                   | 811-04550         |
| MainStay Epoch U.S. Equity Yield Fund                     | 811-22321         |
| MainStay Epoch Global Equity Yield Fund                   | 811-22321         |
| MainStay Winslow Large Cap Growth Fund                    | 811-04550         |
| MainStay VP Equity Allocation Portfolio                   | 811-03833-01      |
| MainStay VP MacKay Government Portfolio                   | 811-03833-01      |
| MainStay Moderate Allocation Fund                         | 811-22321         |
| MainStay MacKay High Yield Municipal Bond 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 Balanced Fund                                    | 811-22321         |
| MainStay Conservative ETF Allocation Fund                 | 811-22321         |
| MainStay Income Builder Fund                              | 811-04550         |
| MainStay VP MacKay International Equity Portfolio         | 811-03833-01      |
| MainStay VP Growth Allocation Portfolio                   | 811-03833-01      |
| MainStay Moderate ETF Allocation Fund                     | 811-22321         |
| MainStay VP Bond Portfolio                                | 811-03833-01      |
| MainStay VP Winslow Large Cap Growth Portfolio            | 811-03833-01      |
| MainStay MacKay High Yield Corporate Bond Fund            | 811-04550         |
| MainStay Growth ETF Allocation Fund                       | 811-22321         |
| MainStay VP Natural Resources Portfolio                   | 811-03833-01      |
| MainStay VP CBRE Global Infrastructure Portfolio          | 811-03833-01      |
| MainStay WMC Enduring Capital Fund                        | 811-04550         |
| MainStay Defensive ETF Allocation Fund                    | 811-22321         |
| MainStay MacKay Short Duration High Yield Fund            | 811-22321         |
| MainStay VP Wellington Growth Portfolio                   | 811-03833-01      |
| MainStay MacKay Intermediate Tax Free Bond Fund           | 811-22321         |
| MainStay VP Fidelity Institutional AM Utilities Portfolio | 811-03833-01      |
| MainStay WMC Small Companies Fund                         | 811-22321         |
| Mainstay Short Term Bond Fund                             | 811-22321         |
| MainStay VP Wellington U.S. Equity Portfolio              | 811-03833-01      |
| MainStay VP MacKay Strategic Bond Portfolio               | 811-03833-01      |
| MainStay VP PIMCO Real Return Portfolio                   | 811-03833-01      |
| MainStay MacKay Short Term Municipal Fund                 | 811-22321         |
| MainStay Growth Allocation Fund                           | 811-22321         |
| MainStay WMC Growth Fund                                  | 811-22321         |
| MainStay MacKay Convertible Fund                          | 811-04550         |
| MainStay VP Candriam Emerging Markets Equity Portfolio    | 811-03833-01      |
| MainStay WMC International Research Equity Fund           | 811-22321         |
| MainStay MacKay Strategic Bond Fund                       | 811-04550         |
| MainStay VP Floating Rate Portfolio                       | 811-03833-01      |
| MainStay VP Epoch U.S. Equity Yield Portfolio             | 811-03833-01      |
| MainStay Conservative Allocation Fund                     | 811-22321         |
| Mainstay Cushing MLP Premier Fund                         | 811-22321         |
| MainStay VP Indexed Bond Portfolio                        | 811-03833-01      |
| MainStay VP Small Cap Growth 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 VP Wellington Mid Cap Portfolio                  | 811-03833-01      |
| MainStay MacKay California Tax Free Opportunities Fund    | 811-22321         |
| MainStay VP IQ Hedge Multi-Strategy Portfolio             | 811-03833-01      |
| MainStay MacKay Total Return Bond Fund                    | 811-22321         |
| MainStay ESG Multi-Asset Allocation Fund                  | 811-22321         |
| MainStay CBRE Global Infrastructure 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: 12 - MainStay MacKay Tax Free Bond Fund

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

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

- **b. Series identification number, if any:** S000006898

- **c. LEI:** 549300594OLKG6WYD178

- **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 C                 | C000018702                                | MTFCX                        |
|                           2 | Class R6                | C000185560                                | MTBDX                        |
|                           3 | Class C2                | C000221693                                | MTSPX                        |
|                           4 | Class I                 | C000082082                                | MTBIX                        |
|                           5 | Class A                 | C000018700                                | MTBAX                        |
|                           6 | Class B                 | C000018701                                | MKTBX                        |
|                           7 | INVESTOR CLASS          | C000060794                                | MKINX                        |

**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 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:** 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:** 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:** $134,566.00

**Aggregate Commission:** $134,566.00

**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        | $525,028,716.85           |
| Wells Fargo Securities, LLC       | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $1,302,662,316.06         |
| J.P. Morgan Securities LLC        | 8-35008           |    000000079 | ZBUT11V806EZRVTWT807 | NY      | US        | $10,557,184,045.38        |
| Morgan Stanley & Co. LLC          | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $841,357,326.95           |
| RBC Capital Markets, LLC          | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $722,760,092.95           |
| Barclays Capital, Inc.            | 8-41342           |    000019714 | AC28XWWI3WIBK2824319 | NY      | US        | $1,896,233,908.00         |
| Siebert Williams Shank & Co., LLC | 8-49877           |    000042568 | 254900VTARX8RAY9QK77 | NY      | US        | $686,423,080.82           |
| Citigroup Global Markets Inc.     | 8-08177           |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $1,753,822,080.45         |
| Jane Street Capital, LLC          | 8-52275           |    000103782 | 549300ZM16HMPEPNV857 | NY      | US        | $1,548,008,149.60         |
| BofA Securities, Inc.             | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $2,102,480,178.55         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $28,209,602,403.18

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

- **Item C.19.a - Fund's monthly average net assets:** $7,982,801,212.00

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

**Date:** 2022-10-31

**Signature:** Jack Benintende

**Title:** Treasurer