# EDGAR Filing Document

**Accession Number:** 0000787441
**File Stem:** 0001741773-23-000954
**Filing Date:** 2023-3
**Character Count:** 166853
**Document Hash:** 96b9ced8a22b24e9b382d40e0acfde6d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001741773-23-000954.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0001741773-23-000954

**CONFORMED SUBMISSION TYPE**: POS EX

**PUBLIC DOCUMENT COUNT**: 13

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**EFFECTIVENESS DATE**: 20230327

**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:** POS EX
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 033-02610
- **FILM NUMBER:** 23762118

**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

AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON March 27, 2023

FILE NO. 033-02610

FILE NO. 811-04550

UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION <br>WASHINGTON, D.C. 20549

FORM N-1A<br>REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

Post-Effective Amendment No. 163

AND

REGISTRATION STATEMENT

UNDER

THE INVESTMENT COMPANY ACT OF 1940

Amendment No. 166

### THE MAINSTAY FUNDS
(exact name of registrant as specified in charter)

51 MADISON AVENUE,

NEW YORK, NEW YORK 10010

(address of principal executive office) <br>REGISTRANT'S TELEPHONE NUMBER: (212) 576-7000

Copy to:

<br> <u>J. Kevin Gao, Esq. <br>The MainStay Funds<br>51 Madison Avenue<br>New York, NY 10010</u> <u>Thomas C. Bogle, Esq. <br>Corey F. Rose, Esq.<br>Dechert LLP 1900 K Street, NW<br>Washington, DC 20006</u>

(NAME AND ADDRESS OF AGENT FOR SERVICE)

It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.

EXPLANATORY NOTE

This Post-Effective Amendment No.163 to the Registration Statement on Form N-1A (File No. 033-02610) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the "Securities Act"), solely for the purpose of adding exhibits to such Registration Statement. Accordingly, this Post-Effective Amendment No. 163 consists only of a facing page, this explanatory note, and Part C of the Registration Statement on Form N-1A. This Post-Effective Amendment No. 163 does not change the form of any prospectus or Statement of Additional Information included in post-effective amendments previously filed with the Securities and Exchange Commission (the "SEC"). As permitted by Rule 462(d), this Post-Effective Amendment No. 163 shall become effective upon filing with the SEC.

------

**ITEM 28. EXHIBITS**

a. Declaration of Trust

1. [<u>Declaration</u> <u>of</u> <u>Trust</u> <u>dated</u> <u>January</u> <u>9,</u> <u>1986,</u> <u>as</u> <u>amended</u> <u>and</u> <u>restated</u> <u>August</u> <u>19,</u> <u>2016</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(3)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No. 131 on September 12,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420416123571/v444605_ex99-a33.htm)

2. Fifth Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest, Par Value $.01 Per Share dated October 26, 1992 — Previously filed as Exhibit 1(b) to Post-Effective Amendment No. 16\*

3. Establishment and Designation of Additional Series of Shares of Beneficial Interest, Par Value $.01 Per Share — Previously filed as Exhibit 1(b) to Post-Effective Amendment No. 11\*

4. Form of Establishment and Designation of Additional Series of shares of Beneficial Interest, Par Value $.01 Per Share — Previously filed as Exhibit 1(b) to Post-Effective Amendment No. 23\*

5. Form of Establishment and Designation of Additional Series of Shares of Beneficial Interest, Par Value $.01 Per Share — Previously filed as Exhibit 1(e) to Post-Effective Amendment No. 28\*

6. [<u>Form</u> <u>of</u> <u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>an</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed as Exhibit 1(g) to Post-Effective Amendment No.</u> <u>35 on February 26, 1997\*</u>](http://www.sec.gov/Archives/edgar/data/787441/0000950109-97-001604.txt)

7. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>an</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit 1(h) to Post-Effective Amendment No.</u> <u>38 on August 8, 1997\*</u>](http://www.sec.gov/Archives/edgar/data/787441/0000950130-97-003503-index.html)

8. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit 1(i) to Post-Effective Amendment No.</u> <u>47\*</u>](http://www.sec.gov/Archives/edgar/data/787441/0000950130-98-003433.txt)

9. [<u>Establishment</u> <u>and</u> <u>Designations</u> <u>of</u> <u>Class</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(10) to Post-Effective Amendment No.</u> <u>51 on April 30, 1999\*</u>](http://www.sec.gov/Archives/edgar/data/787441/0000950123-99-004005.txt)

10. [<u>Establishment</u> <u>and</u> <u>Designations</u> <u>of</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit (a)(11) to Post-Effective Amendment No.</u> <u>51 on April 30, 1999\*</u>](http://www.sec.gov/Archives/edgar/data/787441/0000950123-99-004005.txt)

11. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit (a)(11) to Post-Effective Amendment No.</u> <u>55 on March 1, 2001\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012301001935/y46061ex99-a_11.txt)

12. [<u>Form</u> <u>of</u> <u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>relating</u> <u>to</u> <u>the</u> <u>Mainstay U.S. Large Cap Equity Fund — Previously filed as Exhibit (a)(12) to Post-Effective Amendment No.</u> <u>58 on December 20, 2001\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012301509437/y55804bex99-a_12.txt)

13. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Classes</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(13) to Post-Effective Amendment No.</u> <u>65 on December 31, 2003\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012303014304/k90530bexv99waw13.txt)

14. [<u>Redesignation</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(14)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No.</u> <u>65 on December 31, 2003\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012303014304/k90530bexv99waw14.txt)

15. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)</u> <u>(15)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No.</u> <u>65 on December 31, 2003\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012303014304/k90530bexv99waw15.txt)

16. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Series</u> <u>and</u> <u>Classes</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed as Exhibit (a)(16) to Post-Effective Amendment No.</u> <u>74 on March 15, 2005\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012305003152/y69637b5exv99waw16.txt)

17. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)</u> <u>(17)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No.</u> <u>74 on March 15, 2005\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012305003152/y69637b5exv99waw17.txt)

------

18. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)</u> <u>(18)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No.</u> <u>74 on March 15, 2005\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012305003152/y69637b5exv99waw18.txt)

19. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)</u> <u>(19)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No.</u> <u>74 on March 15, 2005\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012305003152/y69637b5exv99waw19.txt)

20. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(20) to Post-Effective Amendment No.</u> <u>80 on April 7, 2006\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012306004396/y16919exv99waw20.txt)

21. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Additional</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>1(u)</u> <u>to</u> <u>Registrant's Form N-14 filed with the Commission on August 10,</u> <u>2007\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012307011304/y38105exv99w1wu.txt)

22. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Class</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(22)</u> <u>to</u> <u>Post-Effective Amendment No.</u> <u>93 on February 22, 2008\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012308001998/e45412exv99waw22.txt)

23. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Small</u> <u>Cap</u> <u>Value)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(23)</u> <u>to</u> <u>Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a23.htm)

24. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Institutional</u> <u>Bond)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(24)</u> <u>to</u> <u>Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a24.htm)

25. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Value)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(25)</u> <u>to</u> <u>Post- Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a25.htm)

26. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Mid</u> <u>Cap</u> <u>Growth)</u> <u>—Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(26)</u> <u>to</u> <u>Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a26.htm)

27. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Small</u> <u>Cap</u> <u>Growth)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(27) to Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a27.htm)

28. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Mid</u> <u>Cap</u> <u>Value)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(28)</u> <u>to</u> <u>Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a28.htm)

29. [<u>Abolition</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>Of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Capital</u> <u>Appreciation)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(29) to Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a29.htm)

30. [<u>Redesignation</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Total</u> <u>Return)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(30)</u> <u>to</u> <u>Post-Effective Amendment No. 106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99-a30.htm)

31. [<u>Redesignation</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Flexible</u> <u>Bond</u> <u>Opportunities)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit (a)(31) to Post-Effective Amendment No.</u> <u>120 on June 17, 2013\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420413035084/v347711_ex99-a31.htm)

32. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Class</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Class</u> <u>R3)</u> <u>dated</u> <u>December</u> <u>2015</u> <u>— Previously filed as Exhibit (a)(32) to Post-Effective Amendment No. 129 on February 29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99a32.htm)

33. [<u>Redesignation</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Global</u> <u>High</u> <u>Income</u> <u>and</u> <u>MAP)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit (a)(34) to Post-Effective Amendment No. 137 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417041944/v472579_ex99-a34.htm)

34. [<u>Establishment</u> <u>and</u> <u>Designation</u> <u>of</u> <u>Class</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>(Class</u> <u>T)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(a)(35) to Post-Effective Amendment No. 137 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417041944/v472579_ex99-a35.htm)

35. [<u>Redesignation</u> <u>of</u> <u>Series</u> <u>of</u> <u>Shares</u> <u>of</u> <u>Beneficial</u> <u>Interest,</u> <u>Par</u> <u>Value</u> <u>$0.01</u> <u>Per</u> <u>Share</u> <u>effective</u> <u>February</u> <u>28,</u> <u>2018</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as Exhibit (a)(36) to Post-Effective Amendment No. 139 on February 28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-a36.htm)

36. [<u>Establishment and Designation of Class of Shares of Beneficial Interest, Par Value $0.01 Per Share (SIMPLE Class) – Previously filed as Exhibit (a)(36) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-a36.htm)

------

37. [<u>Establishment and Designation of Class of Shares of Beneficial Interest, Par Value $0.01 Per Share (Class C2) – Previously filed as Exhibit (a)(37) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-a37.htm)

38. [<u>Redesignation of Series of Shares of Beneficial Interest, Par Value $0.01 Per Share effective February 28, 2020, August 31, 2020 and February 28, 2021 (Large Cap Growth, Infrastructure Bond and Unconstrained Bond) – Previously filed as Exhibit (a)(38) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99acharter-1.htm)

39. [<u>Redesignation of Series of Shares of Beneficial Interest, Par Value $0.01 Per Share effective March 5, 2021 and April 26, 2021 (Common Stock and MAP Equity) – Previously filed as Exhibit (a)(39) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99acharter-2.htm)

40. [<u>Establishment and Designation of Class Shares of Beneficial Interest, Par Value $0.01 Per Share effective March 29, 2013 – Previously filed as Exhibit (a)(40) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99acharter-1.htm)

b. By-Laws

1. [<u>Amended</u> <u>and</u> <u>Restated</u> <u>By-Laws</u> <u>dated</u> <u>June</u> <u>4,</u> <u>2015</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(b)(1)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>129</u> <u>on February 29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99b1.htm)

2. [<u>Amended and Restated By-Laws dated June 24, 2020 – Previously filed as Exhibit (b)(1) to Post-Effective Amendment No. 151 on June 26, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920077515/tm2023376d1_ex99-b2.htm)

c. Instruments Defining Rights of Security Holders

1. See the Declaration of Trust, as amended and supplemented from time to time and the Amended and Restated By-Laws dated June 4, 2015 (See above)

d. Investment Advisory Contracts

1. [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Management</u> <u>Agreement</u> <u>dated</u> <u>February</u> <u>27,</u> <u>2015</u> <u>between</u> <u>The</u> <u>MainStay</u> <u>Funds</u> <u>and</u> <u>New</u> <u>York</u> <u>Life</u> <u>Investment</u> <u>Management LLC — Previously filed as Exhibit (d)(1) to Post-Effective Amendment No. 126 on February 27,</u> <u>2015\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420415012689/v401065_ex99-d1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) [<u>Amendment dated February 28, 2017 — Previously filed as Exhibit (d)(1)(a) to Post-Effective Amendment No. 137 on August</u> <u>10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417011635/v460548_ex99-d1a.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) [<u>Amendment dated February 28, 2018 — Previously filed as Exhibit (d)(1)(b) to Post-Effective Amendment No. 139 on February</u> <u>28, 2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-d1b.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(1)(c)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>143</u> <u>on</u> <u>February</u> <u>15, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419008659/tv513263_ex99-d1c.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) [<u>Amendment</u> <u>dated</u> <u>June</u> <u>21,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(1)(d)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d1d.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) [<u>Amendment dated February 28, 2020 – Previously filed as Exhibit (d)(1)(e) to Post-Effective Amendment No. 149 on February 25, 2020</u><u>\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-d1e.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(f) [<u>Amendment dated August 31, 2020 – Previously filed as Exhibit (d)(1)(f) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-d1f.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(g) [<u>Amendment dated February 28, 2021 – Previously filed as Exhibit (d)(1)(g) to Post-Effective Amendment No. 154 on February 24, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000187/ex99dadvsrcontr-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(h) [<u>Amendment dated March 5, 2021 – Previously filed as Exhibit (d)(1)(h) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99dadvsrcontr-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) [<u>Amendment dated April 26, 2021 – Previously filed as Exhibit (d)(1)(i) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99dadvsrcontr-2.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(j) [<u>Amendment dated February 28, 2022 – Previously filed Exhibit (d)(1)(j) to Post-Effective Amendment No. 161</u> <u>on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99dadvsrcontr-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(k) [<u>Amendment dated February 28, 2023 – Previously filed as Exhibit (d)(1)(k) to Post-Effective Amendment No. 162 on February 23, 2023</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99dadvsrcontr-1k.htm)

2. Subadvisory Agreements

(a) [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Sub-Advisory</u> <u>Agreement</u> <u>between</u> <u>New</u> <u>York</u> <u>Life</u> <u>Investment</u> <u>Management</u> <u>LLC</u> <u>and</u> <u>MacKay</u> <u>Shields</u> <u>LLC</u> <u>dated</u> <u>January</u> <u>1,</u> <u>2018</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>139</u> <u>on</u> <u>February</u> <u>28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-d2a.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;i. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2018</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(b)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>139</u> <u>on February 28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-d2b.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ii. [<u>Amendment dated May 1, 2018 — Previously filed as Exhibit (d)(2)(a)(ii) to Post-Effective Amendment No. 141 on October</u> <u>22, 2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418054719/tv501810_ex99-d2aii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iii. [<u>Amendment</u> <u>dated</u> <u>May</u> <u>22,</u> <u>2018</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(iii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>141</u> <u>on</u> <u>October</u> <u>22,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418054719/tv501810_ex99-d2aiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iv. [<u>Amendment</u> <u>dated</u> <u>November</u> <u>30,</u> <u>2018</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(iv)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>143</u> <u>on February 15,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419008659/tv513263_ex99-d2aiv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;v. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(v)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2av.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;vi. [<u>Amendment</u> <u>dated</u> <u>April</u> <u>1,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(vi)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2avi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;vii. [<u>Amendment</u> <u>dated</u> <u>May</u> <u>1,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(vii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2avii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;viii. [<u>Amendment</u> <u>dated</u> <u>June</u> <u>21,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)(viii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>146</u> <u>on</u> <u>August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99d2aviii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ix. [<u>Amendment dated June 28, 2019 — Previously filed as Exhibit (d)(2)(a)(ix) to Post-Effective Amendment No. 146 on August</u> <u>21, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99d2aix.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;x. [<u>Amendment dated February 26, 2020 – Previously filed as Exhibit (d)(2)(a)(x) to Post-Effective Amendment No. 149 on February 25, 2020</u><u>\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-d2ax.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xi. [<u>Amendment dated February 28, 2020 – Previously filed as Exhibit (d)(2)(a)(xi) to Post-Effective Amendment No. 149 on February 25, 2020</u><u>\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-d2axi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xii. [<u>Amendment dated August 31, 2020 – Previously filed as Exhibit (d)(2)(a)(xii) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-d2axii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xiii. [<u>Amendment dated February 28, 2021 – Previously filed as Exhibit (d)(2)(a)(xiii) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99dadvsrcontr-2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xiv. [<u>Amendment dated March 5, 2021 – Previously filed as Exhibit (d)(2)(a)(xiv) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99dadvsrcontr-3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xv. [<u>Amendment dated April 26, 2021 – Previously filed as Exhibit (d)(2)(a)(xv) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99dadvsrcontr-3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xvi. [<u>Amendment dated May 1, 2021 – Previously filed as Exhibit (d)(2)(a)(xvi) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99dadvsrcontr-4.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xvii. [<u>Amendment dated August 28, 2021 – Previously filed as Exhibit (d)(2)(a)(xvii) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99dadvsrcontr-5.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xviii. [<u>Amendment dated November 30, 2021 – Previously filed as Exhibit (d)(2)(a)(xviii) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99dadvsrcontr-2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xix. [<u>Amendment dated February 28, 2022 –Previously filed as Exhibit (d)(2)(a)(xix) to Post-Effective Amendment No.161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99dadvsrcontr-3.htm)

(b) [<u>Subadvisory</u> <u>Agreement</u> <u>between</u> <u>New</u> <u>York</u> <u>Life</u> <u>Investment</u> <u>Management</u> <u>LLC</u> <u>and</u> <u>Winslow</u> <u>Capital</u> <u>Management,</u> <u>Inc.</u> <u>dated</u> <u>October</u> <u>1, 2014 — Previously filed as Exhibit (d)(2)(b) to Post- Effective Amendment No. 126 on February 27,</u> <u>2015\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420415012689/v401065_ex99-d2b.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;i. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2016</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(b)(i)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>129</u> <u>on</u> <u>February 29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99d2bi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ii. [<u>Amendment dated February 28, 2020 – Previously filed as Exhibit (d)(2)(b)(ii) to Post-Effective Amendment No. 149 on February 25, 2020</u><u>\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-d2bii.htm)

(c) [<u>Subadvisory</u> <u>Agreement</u> <u>between</u> <u>New</u> <u>York</u> <u>Life</u> <u>Investment</u> <u>Management</u> <u>LLC</u> <u>and</u> <u>Epoch</u> <u>Investment</u> <u>Partners,</u> <u>Inc.</u> <u>dated</u> <u>March</u> <u>31,</u> <u>2017 — Previously filed as Exhibit (d)(2) to MainStay Funds Trust's Post-Effective Amendment No. 115 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420417041950/v472398_ex99-d2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;i. [<u>Amendment</u> <u>dated</u> <u>May</u> <u>8,</u> <u>2017</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(a)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>115 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420417041950/v472398_ex99-d2a.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ii. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(c)(ii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2cii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iii. [<u>Amendment</u> <u>dated</u> <u>April</u> <u>1,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(c)(iii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2ciii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iv. [<u>Amendment</u> <u>dated</u> <u>May</u> <u>1,</u> <u>2019</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(c)(iv)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-d2civ.htm)

(d) [<u>Subadvisory Agreement dated May 1, 2014 between New York Life Investment Management LLC and NYL Investors LLC</u> <u>—</u><u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(d)(2)(h)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>131</u> <u>on</u> <u>September</u> <u>12,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420416123571/v444605_ex99-d2h.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;i. [<u>Amendment dated February 28, 2017 — Previously filed as Exhibit (d)(2)(h)(i) to Post-Effective Amendment No. 137 on</u> <u>August</u> <u>10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417011635/v460548_ex99-d2hi.htm)

(e) [<u>Subadvisory Agreement between New York Life Investment Management and Candriam (formerly Candriam Luxembourg S.C.A.) dated June 21, 2019 -Previously filed as Exhibit (d)(2)(f) to Post-Effective Amendment No. 149 on February 25, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-d2f.htm)

(f) [<u>Subadvisory Agreement between New York Life Investment Management LLC and Wellington Management Company LLC dated March 5, 2021 – Previously filed as Exhibit (d)(2)(g) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99dadvsrcontr-4.htm)

e. Underwriting Contracts

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. [<u>Amended and Restated Master Distribution Agreement between the MainStay Funds and NYLIFE Distributors Inc. dated August 1,</u> <u>2014</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420415012689/v401065_ex99-e1.htm)[<u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(e)(1)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>126</u> <u>on</u> <u>February</u> <u>27,</u> <u>2015\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420415012689/v401065_ex99-e1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. [<u>Form of Soliciting Dealer Agreement — Previously filed as Exhibit (e)(2) to Post-Effective Amendment No. 129 on February 29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99e2.htm)

f. Bonus or Profit Sharing Contracts — Inapplicable

g. Custodian Agreements

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. [<u>Global Custody Agreement with JPMorgan Chase Bank, National Association dated June 22, 2020 – Previously filed as Exhibit (g)(3) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99gcustagreemt-1.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) [<u>Amendment dated May 1, 2021 – Previously filed as Exhibit (g)(1)(a) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99gcustagreemt-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) [<u>Amendment dated September 9, 2021 – Previously filed as Exhibit (g)(1)(b) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99gcustagreemt-2.htm)

h. Other Material Contracts

&nbsp;&nbsp;&nbsp;&nbsp;1. Transfer Agency

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Transfer</u> <u>Agency</u> <u>and</u> <u>Service</u> <u>Agreement</u> <u>dated</u> <u>October</u> <u>1,</u> <u>2008</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>h</u> <u>(1)(a)</u> <u>to</u> <u>Post-</u><u>Effective Amendment No.</u> <u>96 on November 25, 2008\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012308016348/y64854bexv99whw1wa.txt)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;i. [<u>Amendment</u> <u>dated</u> <u>April</u> <u>24,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(i)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>107</u> <u>on</u> <u>February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420411011352/v209868_exh1ai.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ii. [<u>Amendment</u> <u>dated</u> <u>October</u> <u>16,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(ii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>107</u> <u>on</u> <u>February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420411011352/v209868_exh1aii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iii. [<u>Amendment</u> <u>dated</u> <u>October</u> <u>23,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(iii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>107</u> <u>on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420411011352/v209868_exh1aiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;iv. [<u>Amendment</u> <u>dated</u> <u>October</u> <u>30,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(iv)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>107</u> <u>on</u> <u>February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420411011352/v209868_exh1aiv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;v. [<u>Amendment</u> <u>dated</u> <u>November</u> <u>12,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(i)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 9 on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420411011350/v209850_exh1ai.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;vi. [<u>Amendment</u> <u>dated</u> <u>November</u> <u>24,</u> <u>2009</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(ii)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 9 on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420411011350/v209850_exh1aii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;vii. [<u>Amendment dated February 26, 2010 — Previously filed as Exhibit (h)(1)(a)(iii) to MainStay Funds Trust's</u> <u>Post-Effective</u> <u>Amendment No. 9 on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420411011350/v209850_exh1aiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;viii. [<u>Amendment</u> <u>dated</u> <u>March</u> <u>30,</u> <u>2010</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(iv)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 9 on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420411011350/v209850_exh1aiv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;ix. [<u>Amendment</u> <u>dated</u> <u>January</u> <u>1,</u> <u>2011</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(v)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 9 on February 28,</u> <u>2011\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420411011350/v209850_exh1av.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;x. [<u>Amendment</u> <u>dated</u> <u>January</u> <u>1,</u> <u>2012</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(vi)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 40 on February 27,</u> <u>2013\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420413011726/v336036_ex-h1avi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xi. [<u>Amendment</u> <u>dated</u> <u>January</u> <u>1,</u> <u>2013</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(x)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>120</u> <u>on</u> <u>June</u> <u>17,</u> <u>2013\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420413035084/v347711_ex99-h1ax.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xii. [<u>Amendment</u> <u>dated</u> <u>July</u> <u>11,</u> <u>2014</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>126</u> <u>on February 27,</u> <u>2015\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420415012689/v401065_ex99-h1axii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xiii. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>29,</u> <u>2016</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xiii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>129</u> <u>on February 29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99h1axiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xiv. [<u>Amendment</u> <u>dated</u> <u>June</u> <u>30,</u> <u>2016</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xi)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>100</u> <u>to</u> <u>MainStay Funds Trust's Registration Statement on September 12,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420416123566/v444209_ex99-h1axi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xv. [<u>Amendment</u> <u>dated</u> <u>March</u> <u>13,</u> <u>2017</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xii)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 115 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420417041950/v472398_ex99-h1axii.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xvi. [<u>Amendment</u> <u>dated</u> <u>April</u> <u>11,</u> <u>2017</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xiii)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 115 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420417041950/v472398_ex99-h1axiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xvii. [<u>Amendment</u> <u>dated</u> <u>May</u> <u>8,</u> <u>2017</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xiv)</u> <u>to</u> <u>MainStay</u> <u>Funds</u> <u>Trust's</u> <u>Post-Effective</u> <u>Amendment No. 115 on August 10,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/1469192/000114420417041950/v472398_ex99-h1axiv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xviii. [<u>Amendment dated November 15, 2017 – Previously filed as Exhibit (h)(1)(a)(xviii) to Post-Effective Amendment No. 139</u> <u>on February 28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-h1axviii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xix. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2018</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xix)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>139</u> <u>on</u> <u>February 28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-h1axix.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xx. [<u>Amendment dated May 22, 2018 – Previously filed as Exhibit (h)(1)(a)(xx) to Post-Effective Amendment No. 141 on</u> <u>October</u> <u>22,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418054719/tv501810_ex99-h1axx.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxi. [<u>Amendment</u> <u>dated</u> <u>July</u> <u>2,</u> <u>2018</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xxi)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>141</u> <u>on</u> <u>October</u> <u>22,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418054719/tv501810_ex99-h1axxi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxii. [<u>Amendment</u> <u>dated</u> <u>November</u> <u>30,</u> <u>2018</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xxii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>143</u> <u>on</u> <u>February 15,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419008659/tv513263_ex99-h1axxii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxiii. [<u>Amendment</u> <u>dated</u> <u>February</u> <u>28,</u> <u>2019</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xxiii)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>143</u> <u>on</u> <u>February 15,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419008659/tv513263_ex99-h1axxiii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxiv. [<u>Amendment</u> <u>dated</u> <u>April</u> <u>1,</u> <u>2019</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xxiv)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-h1axxiv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxv. [<u>Amendment</u> <u>dated</u> <u>June</u> <u>14,</u> <u>2019</u> <u>–</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(1)(a)(xxv)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>145</u> <u>on</u> <u>June</u> <u>21, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419031795/tv523805_ex-h1axxv.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxvi. [<u>Amendment dated November 1, 2019 – Previously filed as Exhibit (h)(1)(a)(xxvi) to Post-Effective Amendment No. 148 on December 18, 2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465919073705/tm1925058d1_ex-h1axxvi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxvii. [<u>Amendment dated February 26, 2020 – Previously filed as Exhibit (h)(1)(xxvii) to Post-Effective Amendment No. 149 on February 25, 2020</u><u>\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-h1xxvii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxviii. [<u>Amendment dated May 1, 2020 –</u> <u>Previously filed as Exhibit (h)(1)(xxviii) to Post-Effective Amendment No. 151 on June 26, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920077515/tm2023376d1_ex99-h1xxviii.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxix. [<u>Amendment dated May 22, 2020 – Previously filed as Exhibit (h)(1)(xxix) to Post-Effective Amendment No. 151 on June 26, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920077515/tm2023376d1_ex99-h1xxix.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxx. [<u>Amendment dated June 30, 2020 – Previously filed as Exhibit (h)(1)(xxx) to Post-Effective Amendment No. 151 on June 26, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920077515/tm2023376d1_ex99-h1xxx.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxi. [<u>Amendment dated September 30, 2020 – Previously filed as Exhibit (h)(1)(xxxi) to Post-Effective Amendment No. 154 on February 24, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000187/ex99hothmatcont-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxii. [<u>Amendment dated February 28, 2021 – Previously filed as Exhibit (h)(1)(xxxii) to Post-Effective Amendment No. 154 on February 24, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000187/ex99hothmatcont-2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxiii. [<u>Amendment dated September 30, 2021 – Previously filed as Exhibit (h)(1)(xxxiii) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxiv. [<u>Amendment dated October 26, 2021 – Previously filed as Exhibit (h)(1)(xxxiv) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-2.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxv. [<u>Amendment dated February 28, 2022 – Previously filed as Exhibit (h)(1)(xxxv) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99hothmatcont-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;xxxvi. [<u>Amendment dated January 1, 2023 – Previously filed as Exhibit (h)(1(xxxvi) to Post-Effective Amendment No. 162 on February 23, 2023</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-1axxxvi.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Service</u> <u>Agreement</u> <u>with</u> <u>New</u> <u>York</u> <u>Life</u> <u>Benefit</u> <u>Services,</u> <u>Inc.</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(3)</u> <u>to</u> <u>Post-</u> <u>Effective Amendment No. 80 on April 7, 2006\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012306004396/y16919exv99whw3.txt)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. [<u>Shareholder Services Plan (Class R1 shares) — Previously filed as Exhibit (h)(5) to Post-Effective Amendment No.</u> <u>80 on April 7, 2006\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012306004396/y16919exv99whw5.txt)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. [<u>Shareholder Services Plan (Class R2 shares) — Previously filed as Exhibit (h)(6) to Post-Effective Amendment No.</u> <u>80 on April 7, 2006\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012306004396/y16919exv99whw6.txt)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. [<u>Shareholder</u> <u>Services</u> <u>Plan</u> <u>(Class</u> <u>R3</u> <u>shares)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(h)(5)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>129</u> <u>on</u> <u>February</u> <u>29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex99h5.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. [<u>Form of Indemnification Agreement — Previously filed as Exhibit (h)(10) to Post-Effective Amendment No.</u> <u>80 on April 7, 2006\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000095012306004396/y16919exv99whw10.txt)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7. Expense Limitation Agreements and Fee Waivers

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) [<u>Notice of Fee Waiver (Contractual — Winslow Large Cap Growth Fund) dated February 29, 2020 – Previously filed as Exhibit (h)(7)(b) to Post-Effective Amendment No. 149 on February 25, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920024722/tm209685d6_ex-h7b.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) [<u>Amended and Restated Expense Limitation Agreement (Transfer Agency) dated March 19, 2021 – Previously filed as Exhibit (h)(7)(b) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99hothmatcont-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) [<u>Notice of Voluntary Expense Limitation Agreement dated March 5, 2021 – Previously filed as Exhibit (h)(7)(d) to Post-Effective Amendment No. 155 on March 23, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321000715/ex99hothmatcont-3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) [<u>Amended and Restated Expense Limitation Agreement dated March 19, 2021 –</u> <u>Previously filed as Exhibit (h)(7)(d) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) [<u>Amended and Restated Expense Limitation Agreement dated April 26, 2021 –</u> <u>Previously filed as Exhibit (h)(7)(e) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-4.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(f) [<u>Amended and Restated Expense Limitation Agreement dated July 1, 2021 –</u> <u>Previously filed as Exhibit (h)(7)(f) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-5.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(g) [<u>Amended and Restated Expense Limitation Agreement dated August 28, 2021 –</u> <u>Previously filed as Exhibit (h)(7)(g) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-6.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(h) [<u>Amended and Restated Expense Limitation Agreement dated September 30, 2021 –</u> <u>Previously filed as Exhibit (h)(7)(h) to Post-Effective Amendment No. 156 on November 4, 2021\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177321003683/ex99hothmatcont-7.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) [<u>Amended and Restated Expense Limitation Agreement dated November 30, 2021 –Previously filed as Exhibit (h)(7)(i) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99hothmatcont-2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(j) [<u>Amended and Restated Expense Limitation Agreement dated December 13, 2021 – Previously filed as Exhibit (h)(7)(j) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99hothmatcont-3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(k) [<u>Amended and Restated Expense Limitation Agreement dated February 28, 2022 – Previously filed as Exhibit (h)(7)(k) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99hothmatcont-4.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(l) [<u>Amended and Restated Expense Limitation Agreement dated March 21, 2022 – Previously filed as Exhibit (h)(7)(l) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-7l.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(m) [<u>Amended and Restated Expense Limitation Agreement dated June 10, 2022 – Previously filed as Exhibit (h)(7)(m) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-7m.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(n) [<u>Amended and Restated Expense Limitation Agreement dated August 28, 2022 – Previously filed as Exhibit (h)(7)(n) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-7n.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(o) [<u>Amended and Restated Expense Limitation Agreement dated December 13, 2022 – Previously filed as Exhibit (h)(7)(o) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-7o.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(p) [<u>Amended and Restated Expense Limitation Agreement dated February 28, 2023 – Previously filed as Exhibit (h)(7)(p) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99hothmatcont-7p.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;8. [<u>Regulatory Filing Support Services Agreement dated December 22, 2017 — Previously filed as Exhibit (h)(8) to</u> <u>Post-Effective</u> <u>Amendment No. 139 on February 28,</u> <u>2018\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420418011320/tv486835_ex99-h8.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;9. [<u>Form of MainStay Funds 12d1-4 Agreement – Previously filed as Exhibit (h)(9) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99hothmatcont-5.htm)

i. Legal Opinion

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. Opinion and consent of counsel – Not applicable

j. Other Opinions

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. Consent of Independent Registered Public Accounting Firm – Not applicable

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. [<u>Powers of Attorney — Previously filed as Exhibits to Post-Effective Amendment No.</u> <u>106 on December 17, 2010\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420410067187/v205662_ex99.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. [<u>Powers</u> <u>of</u> <u>Attorney</u> <u>(Blunt,</u> <u>Chow</u> <u>and</u> <u>Perold)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibits</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>129</u> <u>on</u> <u>February</u> <u>29,</u> <u>2016\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000119312516483035/d149139dex992.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. [<u>Power of Attorney (Hung) — Previously filed as an Exhibit to Post-Effective Amendment No. 135 on February 28,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417011635/v460548_ex99-other.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. [<u>Power of Attorney (Lehneis) —Previously filed as an Exhibit to Post-Effective Amendment No. 138 on December 22,</u> <u>2017\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420417064846/tv481858_ex99-4.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. [<u>Power of Attorney (Hammond) – Previously filed as an Exhibit to Post-Effective Amendment No. 157 on January 10, 2022</u><u><sup></sup></u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000051/ex99jotheropinin-1.htm)

k. Omitted Financial Statements — Inapplicable

l. Initial Capital Agreements — Inapplicable

m. Rule 12b-1 Plan

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. [<u>Amended and Restated Plan of Distribution pursuant to Rule 12b-1 (Class A shares) — Previously filed as Exhibit (m)(1) to</u> <u>Post-Effective</u> <u>Amendment No. 146 on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Plan</u> <u>of</u> <u>Distribution</u> <u>pursuant</u> <u>to</u> <u>Rule</u> <u>12b-1</u> <u>(Class</u> <u>B</u> <u>shares)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(m)(2)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No. 146 on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. [<u>Amended</u> <u>and</u> <u>Restated</u> <u>Plan</u> <u>of</u> <u>Distribution</u> <u>pursuant</u> <u>to</u> <u>Rule</u> <u>12b-1</u> <u>(Class</u> <u>C</u> <u>shares)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(m)(3)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment No. 146 on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m3.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. [<u>Plan</u> <u>of</u> <u>Distribution</u> <u>pursuant</u> <u>to</u> <u>Rule</u> <u>12b-1</u> <u>(Class</u> <u>R2</u> <u>shares)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(m)(4)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>146</u> <u>on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m4.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. [<u>Plan</u> <u>of</u> <u>Distribution</u> <u>pursuant</u> <u>to</u> <u>Rule</u> <u>12b-1</u> <u>(Class</u> <u>R3</u> <u>shares)</u> <u>—</u> <u>Previously</u> <u>filed</u> <u>as</u> <u>Exhibit</u> <u>(m)(5)</u> <u>to</u> <u>Post-Effective</u> <u>Amendment</u> <u>No.</u> <u>146</u> <u>on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m5.htm)

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. [<u>Plan of Distribution pursuant to Rule 12b-1 (Investor Class shares) — Previously filed as Exhibit (m)(6) to Post-Effective Amendment</u> <u>No. 146 on August 21,</u> <u>2019\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000114420419040937/tv527751_ex99m6.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7. [<u>Plan of Distribution Pursuant to Rule 12b-1 (Class C2 shares) dated June 24, 2020 – Previously filed as Exhibit (m)(7) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-m7.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;8. [<u>Plan of Distribution Pursuant to Rule 12b-1 (SIMPLE Class shares) dated June 24, 2020 – Previously filed as Exhibit (m)(8) to Post-Effective Amendment No. 152 on August 31, 2020\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000110465920100366/tm2029491d1_ex99-m8.htm)

n. Rule 18f-3 Plan

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. [<u>Amended and Restated Multiple Class Plan Pursuant to Rule 18f-3 dated February 28, 2021 – Previously filed as Exhibit (n)(1) to Post-Effective Amendment No. 161 on March 4, 2022\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99n18f3plan-1.htm)

o. Reserved

p. Codes of Ethics

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. [<u>Code of Ethics of Registrant dated September 2022 – Previously filed as Exhibit (p)(1) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99pcodeeth-1.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. [<u>Code of Ethics of New York Life Investment Management Holdings LLC dated November 2022 –</u> <u>Previously filed as Exhibit (p)(2) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99pcodeeth-2.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. [<u>Code of Ethics of Candriam (formerly Candriam Belgium/France/Luxembourg) dated March 2021 – Previously filed as Exhibit (p)(3) to Post-Effective Amendment No. 161 on March 4, 2022</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177322000949/ex99pcodeeth-1.htm)\*

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. [<u>Code of Ethics of Nuveen Investments Inc. dated July 2022 – Filed herewith</u>](ex99pcodeeth-4.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. [<u>Code of Ethics of Epoch Investment Partners, Inc. dated October 2022 – Previously filed as Exhibit (p)(5) to Post-Effective Amendment No. 162 on February 28, 2023\*</u>](http://www.sec.gov/Archives/edgar/data/787441/000174177323000227/ex99pcodeeth-5.htm)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. [<u>Code of Ethics of Wellington Management Company LLC dated September 2022 – Filed herewith</u>](ex99pcodeeth-6.htm)

______________________

\* Incorporated herein by reference.

ITEM 29. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT

None.

ITEM 30. INDEMNIFICATION

The MainStay Group of Funds, which includes MainStay Funds Trust, MainStay VP Funds Trust and The MainStay Funds, maintains a joint directors and officers/errors and omissions ("D&O/E&O") liability insurance policy and joint independent directors liability ("IDL") insurance policy. The D&O/E&O liability insurance policy covers all of the directors and officers of the MainStay Group of Funds and the IDL insurance policy covers the independent directors only. Subject to the terms, conditions and retentions of the policies, insured persons are covered for claims made against them while acting in their official capacities with the MainStay Group of Funds.

Article IV of The MainStay Funds' ("Registrant's") Declaration of Trust states as follows: Section 4.3. <u>Mandatory</u> <u>I</u>ndemnification.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) Subject to the exceptions and limitations contained in paragraph (b) below:

------

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) every person who is, or has been, a Trustee or officer of the Trust shall be indemnified by the Trust, or by one or more Series thereof if the claim arises from his or her conduct with respect to only such Series, to the fullest extent permitted by law against all liability and against all expenses reasonably incurred or paid by him in connection with any claim, action, suit or proceeding in which he becomes involved as a party or otherwise by virtue of his being or having been a Trustee or officer and against amounts paid or incurred by him in the settlement thereof;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii) the words "claim," "action," "suit," or "proceeding" shall apply to all claims, actions, suits or proceedings (civil, criminal, or other, including appeals), actual or threatened; and the words "liability" and "expenses" shall include, without limitation, attorneys ' fees, costs, judgments, amounts paid in settlement, fines, penalties and other liabilities.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) No indemnification shall be provided hereunder to a Trustee or officer:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) against any liability to the Trust or a Series thereof or the Shareholders by reason of a final adjudication by a court or other body before which a proceeding was brought that he engaged in willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii) with respect to any matter as to which he shall have been finally adjudicated not to have acted in good faith in the reasonable belief that his action was in the best interest of the Trust or a Series thereof:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iii) in the event of a settlement or other disposition not involving a final adjudication as provided in paragraph (b)(i) or (b)

(ii) resulting in a payment by a Trustee or officer, unless there has been a determination that such Trustee or officer did not engage in willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(A) by the court or other body approving the settlement or other disposition; or

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(B) based upon a review of readily available facts (as opposed to a full trial-type inquiry) by (x) vote of a majority of the Non-interested Trustees acting on the matter (provided that a majority of the Non-interested Trustees then in office act on the matter) or (y) written opinion of independent legal counsel.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) The rights of indemnification herein provided may be insured against by policies maintained by the Trust, shall be severable, shall not affect any other rights to which any Trustee or officer may now or hereafter be entitled, shall continue as to a person who has ceased to be such Trustee or officer and shall inure to the benefit of the heirs, executors, administrators and assigns of such a person. Nothing contained herein shall affect any rights to indemnification to which personnel of the Trust other than Trustees and officers may be entitled by contract or otherwise under law.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) Expenses of preparation and presentation of a defense to any claim, actions suit or proceeding of the character described in paragraph (a) of this Section 4.3 may be advanced by the Trust or a Series thereof prior to final disposition thereof upon receipt of an undertaking by or on behalf of the recipient to repay such amount if it is ultimately determined that he is not entitled to indemnification under this Section 4.3, provided that either:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) such undertaking is secured by a surety bond or some other appropriate security provided by the recipient, or the Trust or Series thereof shall be insured against losses arising out of any such advances; or

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii) a majority of the Non-interested Trustees acting on the matter (provided that a majority of the Non-interested Trustees act on the matter) or an independent legal counsel in a written opinion shall determine, based upon a review of readily available facts (as opposed to a full trial-type inquiry), that there is reason to believe that the recipient ultimately will be found entitled to indemnification.

As used in this Section 4.3, a "Non-interested Trustee" is one who is not (i) an "Interested Person" of the Trust (including anyone who has been exempted from being an "Interested Person" by any rule, regulation or order of the Commission), or (ii) involved in the claim, action, suit or proceeding.

In addition, each Trustee has entered into a written agreement with the Trust pursuant to which the Trust is contractually obligated to indemnify the Trustees to the fullest extent permitted by law and by the Declaration of Trust and Bylaws of the Trust.

------

Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such trustee, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.

ITEM 31. BUSINESS OR OTHER CONNECTIONS OF INVESTMENT ADVISOR

New York Life Investment Management LLC ("New York Life Investments") acts as the investment adviser for each series of the following open- end registered management investment companies: MainStay Funds Trust, MainStay VP Funds Trust and The MainStay Funds.

The list of officers and directors of New York Life Investments, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by New York Life Investments (SEC File No: 801-57396).

***CANDRIAM***

Candriam acts as the subadvisor for certain series of the Registrant.

The list of officers and directors of Candriam, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by Epoch (SEC File No: 801-80510).

***EPOCH INVESTMENT PARTNERS, INC.***

Epoch Investment Partners, Inc. ("Epoch") acts as the subadvisor for certain series of the Registrant.

The list of officers and directors of Epoch, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by Epoch (SEC File No: 801-63118).

***MACKAY SHIELDS LLC***

MacKay Shields LLC ("MacKay Shields") acts as the subadvisor for certain series of the Registrant.

The list of officers and directors of MacKay Shields, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by MacKay Shields (SEC File No: 801-5594).

***NYL INVESTORS LLC***

NYL Investors LLC ("NYL Investors ") acts as the subadvisor for certain series of the Registrant.

The list of officers and directors of NYL Investors, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by NYL Investors (SEC File No: 801-78759).

#### WELLINGTON MANAGEMENT COMPANY LLC
Wellington Management Company LLC ("Wellington") acts as the subadvisor for certain series of the Registrant.

The list of officers and directors of Wellington, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by Wellington (SEC File No: 801-15908).

***WINSLOW CAPITAL MANAGEMENT INC.***

Winslow Capital Management Inc. ("Winslow Capital") acts as the subadvisor for certain series of the Registrant.

------

The list of officers and directors of Winslow Capital, together with information as to their other business, profession, vocation or employment of a substantial nature during the past two years, is incorporated by reference to Schedules A and D of Form ADV filed by Winslow Capital (SEC File No: 801-41316) .

ITEM 32. PRINCIPAL UNDERWRITERS

a. Inapplicable

b. Inapplicable

c. Inapplicable

ITEM 33. LOCATION OF ACCOUNTS AND RECORDS.

Certain accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the rules promulgated thereunder are maintained at the offices of New York Life Insurance Company, 51 Madison Avenue, New York, NY 10010; New York Life Investment Management LLC, 30 Hudson Street, Jersey City, NJ 07302; Candriam (formerly Candriam Luxembourg S.C.A.), 19-21 route d'Arlon L-8009 Strassen Luxembourg; Epoch Investment Partners, Inc., 399 Park Avenue, New York, NY 10022; MacKay Shields LLC, 1345 Avenue of the Americas, New York, NY 10105; Wellington Management Company LLC, 280 Congress Street, Boston, MA 02210; and Winslow Capital Management, LLC, 4400 IDS Center, 80 South Eighth Street, Minneapolis, Minnesota 55402. Records relating to the duties of the custodian for each series of The MainStay Funds are maintained by JPMorgan Chase Bank, N.A., 383 Madison Avenue, New York, New York 10179. Records relating to the duties of the transfer agent of The MainStay Funds are maintained by DST Asset Manager Solutions, Inc., 200 Crown Colony Drive, Quincy, MA 02169.

ITEM 34. MANAGEMENT SERVICES.

Inapplicable.

ITEM 35. UNDERTAKINGS.

Inapplicable.

------

#### SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement under Rule 485(b) and that has duly caused this Post-Effective Amendment No. 163 to its Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York in the State of New York, on the 27<sup>th</sup> day of March, 2023.

---

| | |
|:---|:---|
| **THE MAINSTAY FUNDS** | **THE MAINSTAY FUNDS** |
| By: | <u>/s/ Kirk C. Lehneis</u> |
|  | Kirk C. Lehneis |
|  | President and Principal Executive Officer |

---

Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 163 to the Registration Statement has been signed below by the following persons in the capacities indicated on March 27, 2023.

---

| | | |
|:---|:---|:---|
| <u>SIGNATURE</u> | <u>SIGNATURE</u> | <u>TITLE</u> |
| <u>/s/ Kirk C. Lehneis</u> | <u>/s/ Kirk C. Lehneis</u> | President and Principal Executive Officer |
| Kirk C. Lehneis | Kirk C. Lehneis |  |
| <u>/s/ Susan B. Kerley\*</u> | <u>/s/ Susan B. Kerley\*</u> | Trustee and Chairman of the Board |
| Susan B. Kerley | Susan B. Kerley |  |
| <u>/s/ David H. Chow\*</u> | <u>/s/ David H. Chow\*</u> | Trustee |
| David H. Chow | David H. Chow |  |
| <u>/s/ Karen Hammond\*</u> | <u>/s/ Karen Hammond\*</u> | Trustee |
| Karen Hammond | Karen Hammond |  |
| <u>/s/ Alan R. Latshaw\*</u> | <u>/s/ Alan R. Latshaw\*</u> | Trustee |
| Alan R. Latshaw | Alan R. Latshaw |  |
| <u>/s/ Jacques P. Perold\*</u> | <u>/s/ Jacques P. Perold\*</u> | Trustee |
| Jacques P. Perold | Jacques P. Perold |  |
| <u>/s/ Richard S. Trutanic\*</u> | <u>/s/ Richard S. Trutanic\*</u> | Trustee |
| Richard S. Trutanic | Richard S. Trutanic |  |
| <u>/s/ Jack R. Benintende</u> | <u>/s/ Jack R. Benintende</u> | Treasurer and Principal Financial and Accounting Officer |
| Jack R. Benintende | Jack R. Benintende |  |
| By:  | <u>/s/ J. Kevin Gao</u> |  |
|  | J. Kevin Gao | Secretary |
|  | As Attorney-in-Fact |  |
| \*&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to Powers of Attorney previously filed. | \*&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to Powers of Attorney previously filed. |  |

---

------

#### Exhibit Index
<u>Exhibit</u>

(p)(4) Code of Ethics of Nuveen Investments Inc. dated July 2022

(p)(6) Code of Ethics of Wellington Management Company LLC dated September 2022

------

## Ex-99.P

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| | |
|:---|:---|
| ![](img_e813384834f44f3.jpg) | Nuveen Compliance \| 18 July 2022 |

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**Code of Ethics**

**SUMMARY AND SCOPE**

**What the Code is about**

Helping to ensure that Nuveen personnel place the interests of Nuveen clients ahead of their own personal interests.

**Who the Code applies to and what the implications are**

This Code applies to individuals in the following categories:

• Nuveen Employees based in the
US or Canada (except employees of Nuveen Natural Capital, unless the local/ designated Chief Compliance Officer and Nuveen Ethics Office
determine otherwise).

• Employees of any US-registered
investment adviser who are based outside the US.

• Consultants, interns, and temporary
workers based in the US or Canada whose contract length is 90 days or more, unless the Nuveen Ethics Office determines otherwise.

TIAA employees designated as Access Persons by the TIAA- CREF Funds Chief Compliance Officer or the Nuveen Ethics Office are subject to the TIAA Corporate Code of Ethics with the same restrictions and requirements as this Code.

Independent directors and trustees of the TIAA-CREF Funds Complex and Nuveen-sponsored or -branded funds have their own Code of Ethics and are not subject to this one.

For individuals who are subject to the Code, there are two designations with different implications: Access Person and Investment Person.

**ACCESS PERSON**

All Nuveen Employees who are subject to the Code are considered Access Persons, since they have, or could have, access to non-public information about securities transactions and other investments, holdings, or recommendations for Affiliate-Advised Accounts or Portfolios.

**Key characteristics of this designation.** An individual may be considered an Access Person of multiple advisers affiliated with Nuveen, or of only one. If your regular duties give you access to non-public information, or you are an officer of a Nuveen or TIAA-CREF sponsored or branded fund, your personal trading is generally monitored only against the trading activity of the specific adviser(s) or Affiliated Funds

with which you are involved. For other employees, personal trading is typically monitored against the trading activities of all advisers affiliated with Nuveen. You will generally not be permitted to execute transactions in a security on any day when an Affiliate-Advised Account or Portfolio managed by the adviser(s) that you are monitored against has a pending buy or sell order for that security.

**INVESTMENT PERSON**

An Access Person who meets any of the following criteria will in addition be considered an Investment Person:

• The Access Person is a Portfolio
Manager, Research Analyst or Research Assistant, or they otherwise participate in making recommendations or decisions concerning the
purchase or sale of securities in any Affiliate-Advised Account or Portfolio.

• The Access Person has been designated
an Investment Person by the affiliate Chief Compliance Officer or the Nuveen Ethics Office.

**Key characteristics of this designation.** The vast majority of Investment Persons are employees of Nuveen's affiliated investment advisers.

An Investment Person is prohibited from transacting in securities during the period starting 7 calendar days before, and ending 7 calendar days after, any trade in an Affiliate-Advised Account or Portfolio for which he/she has responsibility. In addition, an Investment Person's personal transactions will be reviewed for conflicts in the period starting 7 calendar days before, and ending 7 calendar days after, all trades by their associated investment adviser(s). In some cases, the Investment Person may be required to reverse a trade and/or forfeit an appropriate portion of any profit as determined by the Nuveen Ethics Office. These consequences can apply whether or not the trade was pre-cleared.

The personal trading of Investment Persons is generally only monitored against the trading activity of the specific adviser(s) for which they have been designated an Investment Person.

---

| |
|:---|
| &nbsp;&nbsp;**WHO TO CONTACT** |
| &nbsp;&nbsp;&nbsp;&nbsp; **Nuveen Ethics Office (Americas)**<br> Hotline: 1 800 842 2733 extension 22-5599<br> nuveenethicsoffice@nuveen.com |

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INTERNAL USE ONLY

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| | |
|:---|:---|
| **Code of Ethics** | Page 2 of 8 |

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**Important to understand**

**Some of our affiliated investment advisers may have supplemental policies of their own that impose additional rules on the same topics covered in this Code.** Check with your manager or local/designated Chief Compliance Officer if you have questions.

**Personal trading is a privilege, not a right.** Nuveen Employees are expected to follow the law and adhere to the highest standards of behavior—including with respect to personal trading. Any violation of the Code could have severe adverse effects on you, your co-workers, and Nuveen. You may be held personally liable for your conduct and be subject to fines, regulatory sanctions, and even criminal penalties.

Because Nuveen can restrict your trading or take actions such as forcing you to hold a position or to disgorge profits, personal trading carries risks beyond normal market risks.

**Some requirements in this Code apply to Household Members.** Each Household Member (see "Terms with Special Meanings" at right) is subject to the same personal trading restrictions and requirements that apply to his/her related Nuveen Employee.

**The Code does not address every ethical issue that might arise.** If you have any doubt at all after consulting the Code, contact the Nuveen Ethics Office for direction.

**The Code applies to appearance as well as substance.** Always consider how any action might appear to an outside observer (such as a client or regulator).

**You are expected to follow the Code both in letter and in spirit.** Literal compliance, such as pre-clearing a transaction, does not necessarily protect you from liability for conduct that violates the spirit of the Code. If you have questions about how to comply with this Code, consult the Nuveen Ethics Office.

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| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**TERMS WITH SPECIAL MEANINGS** |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <br> Within this policy, these terms are defined as follows:<br>**Affiliate-Advised Account or Portfolio** Any Affiliated Fund, or any portfolio or client account advised or sub- advised by Nuveen.<br>**Affiliated Fund** Any TIAA-CREF or Nuveen branded or sponsored open-end fund, closed-end fund, or Exchange Traded Fund (ETF), and any third-party fund advised or sub-advised by Nuveen.<br>**Automatic Investment Plan** Any program, such as a dividend reinvestment plan (DRIP), under which investment account purchases or withdrawals occur according to a predetermined schedule and allocation.<br>**Beneficial Ownership** Any interest by which you or any Household Member—directly or indirectly—derives a monetary benefit from purchasing, selling, or owning a security or account, or exercises investment discretion.<br>You have Beneficial Ownership of securities held in accounts in your own name, or any Household Member's name, and in all other accounts over which you or any Household Member exercises or may exercise investment decision- making powers, or other influence or control, including trust, partnership, estate, and corporate accounts or other joint ownership or pooling arrangements.<br>**Code** This Code of Ethics.<br>**Domestic Partner** An individual who is neither a relative of or legally married to a Nuveen Employee, but shares a residence and is in a mutual commitment similar to marriage with such Nuveen Employee.<br>**Federal Securities Laws** The applicable portions of any of the following laws, as amended, and of any rules adopted under them by the Securities and Exchange Commission or the Department of the Treasury:<br>&nbsp;&nbsp;&nbsp;&nbsp;• Securities Act of 1933.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Securities Exchange Act of 1934.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Investment Company Act of 1940.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Investment Advisers Act of 1940.<br>| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Sarbanes-Oxley Act of 2002.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Title V of the Gramm-Leach-Bliley Act.<br>&nbsp;&nbsp;&nbsp;&nbsp;• The Bank Secrecy Act.<br>Household Member Any of the following who reside, or are expected to reside for at least 90 days a year, in the same household as a Nuveen Employee:<br>&nbsp;&nbsp;&nbsp;&nbsp;• Spouse or Domestic Partner.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Sibling.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Child, stepchild, grandchild.<br>&nbsp;&nbsp;&nbsp;&nbsp;• Parent, stepparent, grandparent.<br>&nbsp;&nbsp;&nbsp;&nbsp;• In-laws (mother, father, son, daughter, brother, sister).<br>Independent Director Any director or trustee of an Affiliated Fund who is not an "interested person" within the meaning of Section 2(a)(19) of the Investment Company Act of 1940, as amended.<br>Managed Account Any account, including robo-advised accounts, in which you or a Household Member has Beneficial Ownership and for which you have delegated full investment discretion in writing to a third- party broker or investment manager.<br>Nuveen Nuveen, LLC and all of its direct or indirect subsidiaries worldwide.<br>Nuveen Employee Any full- or part-time employee of Nuveen, and any consultants, interns or temporary workers designated by the Nuveen Ethics Office.<br>Private Placement Any offering exempt from registration under the Securities Act of 1933, such as a private equity investment, hedge fund, or limited partnership. A private investment in public equity (PIPE) is also considered a Private Placement.<br>Reportable Account Any account for which you or a Household Member has Beneficial Ownership AND in which securities can be bought, sold or held. This includes, among others:<br>&nbsp;&nbsp;&nbsp;&nbsp;• All brokerage, IRA, custodial and trust accounts.<br>&nbsp;&nbsp;&nbsp;&nbsp;• All Managed Accounts.<br>|

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|:---|:---|
| **Code of Ethics** | Page 3 of 8 |

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| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**TERMS WITH SPECIAL MEANINGS (continued)** |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <br> &nbsp;&nbsp;&nbsp;&nbsp;• All 529 College Savings Plan accounts.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any TIAA 401(k) plan account.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any 401(k) plan account from a previous employer that permits transactions in any Reportable Security.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any direct holding in an Affiliated Fund.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any health savings account (HSA) that permits the purchase of any security.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any employee stock purchase plan (ESPP) or employee stock ownership plan (ESOP).<br>The following are NOT considered Reportable Accounts:<br> &nbsp;&nbsp;&nbsp;&nbsp;• Charitable giving accounts.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any 401(k), 403(b), plan account, or any other account held directly with a mutual fund complex or mutual fund- only platform, and not held at a bank or broker-dealer,<br> in which open-end, non-Affiliated Funds are the only possible investment.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any cash management account with a broker in which a security cannot be purchased or sold.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Any accounts that can invest only in cryptocurrency such as Bitcoin or Ethereum.<br>**Reportable Security** Any security EXCEPT:<br> &nbsp;&nbsp;&nbsp;&nbsp;• Direct obligations of the US government (indirect obligations, such as Fannie Mae and Freddie Mac securities, are reportable).<br> &nbsp;&nbsp;&nbsp;&nbsp;• Certificates of deposit, bankers' acceptances, commercial paper, and high quality short-term debt (including repurchase agreements).<br> &nbsp;&nbsp;&nbsp;&nbsp;• Money market funds.<br>| &nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;• Open-end funds that are not Affiliated Funds.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Note that closed-end funds are Reportable Securities.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Note that direct investments in cryptocurrency, such as Bitcoin, are not considered to be a security and are therefore not reportable.<br>**Reportable Transaction** Any transaction involving a Reportable Security EXCEPT:<br> &nbsp;&nbsp;&nbsp;&nbsp;• Transactions in Managed Accounts. Section 16 Persons: Transactions involving Nuveen closed-end funds in any of your Managed Accounts are reportable.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Transactions under an Automatic Investment Plan; note that transactions that override the pre-set schedule or allocation are reportable.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Dividends.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Interest Accrued.<br>**Section 16 Person** Section 16 of the Exchange Act and the rules thereunder impose certain obligations on persons specified in section 30(h) of the Investment Company Act of 1940, as well as insiders of any public company that trades on a national stock exchange (such as a Nuveen closed-end fund). For purposes of Section 16, an "insider" is:<br> &nbsp;&nbsp;&nbsp;&nbsp;• A director of a public company.<br> &nbsp;&nbsp;&nbsp;&nbsp;• A designated officer of a public company.<br> &nbsp;&nbsp;&nbsp;&nbsp;• A person who beneficially owns 10% or more of any class of equity security that is registered under Section 12 of the Exchange Act.<br> &nbsp;&nbsp;&nbsp;&nbsp;• A portfolio manager of a Nuveen closed-end fund.<br>Persons subject to Section 16 include, but are not limited to, portfolio managers of the Nuveen closed-end funds.<br>|

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**GENERAL RESTRICTIONS AND REQUIREMENTS**

**BASIC PRINCIPLES**

1. Never abuse a client's trust, rights, or interests.

This means you must never do any of the following:

&nbsp;&nbsp;&nbsp;&nbsp;• Engage in any plan or action,
or use any device, that would defraud or deceive a client.

&nbsp;&nbsp;&nbsp;&nbsp;• Make any material statements
of fact that are incorrect or misleading, either as to what they include or omit.

&nbsp;&nbsp;&nbsp;&nbsp;• Engage in any manipulative practice.

&nbsp;&nbsp;&nbsp;&nbsp;• Use your position (including
any knowledge or access to opportunities you have gained by virtue of your position) to personal advantage or to a client's disadvantage.
This would include, for example, front-running or tailgating (trading directly before or after the execution of a large client trade
order), or any attempt to influence a client's trading to enhance the value of your personal holdings.

&nbsp;&nbsp;&nbsp;&nbsp;• Conduct personal trading in any
way that could be inconsistent with your fiduciary duties to a client (even if it does not technically violate the Code).

**2.** **Handle conflicts of interest appropriately.** This applies not only
to actual conflicts of interest, but also to any situation that might appear to an outside observer to be improper or a breach of fiduciary
duty.

**3.** **Keep confidential information confidential.** Always properly safeguard
any confidential information you obtain in the course of your work. This includes confidential information related to any of the following:

&nbsp;&nbsp;&nbsp;&nbsp;• Any Affiliate-Advised Account
or Portfolio and any other financial product offered or serviced by Nuveen.

&nbsp;&nbsp;&nbsp;&nbsp;• New products, product changes,
or business initiatives.

&nbsp;&nbsp;&nbsp;&nbsp;• Past, current, and prospective
clients, including their identities, investments, and account activity.

"Keeping information confidential" means using discretion in disclosing information as well as guarding against unlawful or inappropriate access by others.

This includes:

&nbsp;&nbsp;&nbsp;&nbsp;• Making sure no confidential information
is visible on your computer screen and desk when you are not there.

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|:---|:---|
| **Code of Ethics** | Page 4 of 8 |

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&nbsp;&nbsp;&nbsp;&nbsp;• Not sharing passwords with others.

&nbsp;&nbsp;&nbsp;&nbsp;• Using caution when discussing
business in any location where your conversation could be overheard. Confidential information may be released only as required by law
or as permitted under the applicable privacy policy(ies). Consult the Nuveen Ethics Office or your local/designated CCO before releasing
any confidential information.

**4.** **Handle Material Non-Public Information properly.** Follow all of
the terms described in "Material Non-Public Information" below. Be aware that any failure to handle such information properly
is a serious offense and may lead to disciplinary action from Nuveen as well as serious civil or criminal liability.

**5.** **Comply with Federal Securities Laws.** Any violation of these laws
is punishable as a violation of the Code.

**6.** **Never do anything indirectly that, if done directly, would violate the Code.** Such actions will be considered the equivalent of direct Code violations.

**7.** **Promptly alert the Nuveen Ethics Office or your local/designated CCO of any actual or suspected wrongdoing.** Examples of wrongdoing include violations of the Federal Securities Laws, misuse of corporate
assets, misuse of confidential information, or other violations of the Code. If you prefer to report confidentially, call the TIAA Confidential
Helpline at 1-877-774-6492. Note that failure to report suspected wrongdoing in a timely fashion is itself a violation of the Code.

**PRE-CLEARANCE AND HOLDING REQUIREMENTS**

**8.** **Pre-clear any trade in Reportable Securities, including certain Affiliated Funds** (see box on next page for additional information).

If your trade requires pre-clearance, request approval through the Protegent PTA system (PTA) before you or any Household Member places an order to buy or sell any Reportable Security. Any approval you receive expires at the end of the day it was granted; however, you may place after-hours trades in international markets until 11:59 PM local time on that day. When requesting pre-clearance, follow this process:

&nbsp;&nbsp;&nbsp;&nbsp;• Request pre-clearance on the
same day you want to trade, during standard US trading hours (9:30 AM to 4:00 PM ET). Be sure your pre-clearance request is accurate
as to security and direction of trade.

&nbsp;&nbsp;&nbsp;&nbsp;• Wait for approval to be displayed
before trading. If you receive approval, you may only trade that same day, and only within the scope of approval. If you do not receive
approval, do not trade.

&nbsp;&nbsp;&nbsp;&nbsp;• Place day orders only. Do not
place good-till-canceled orders or limit orders that expire beyond the day of pre-clearance approval. You may place orders for an after-hours
trading session or in foreign markets using that day's pre-clearance approval, but you
must not place any order that could remain open into the next day's trading session.

9. Hold positions in securities that are subject to pre- clearance for 60 calendar days, or be prepared
to forfeit any gains. Several things to note:

&nbsp;&nbsp;&nbsp;&nbsp;• You may be required to surrender
any gains realized (net of commissions) through a violation of this rule.

&nbsp;&nbsp;&nbsp;&nbsp;• The 60-day holding requirement
is tested on a last- in-first-out basis, across all of your holdings (not just within individual accounts).

&nbsp;&nbsp;&nbsp;&nbsp;• The 60-day holding requirement
extends to any options or other transactions that may have the same effect as a purchase or sale, and to all Reportable Securities except
Exchange Traded Funds (ETFs), Exchange Traded Notes (ETNs), Unit Investment Trusts (UITs), and open-end Affiliated Funds.

&nbsp;&nbsp;&nbsp;&nbsp;• Closed-end funds, including Nuveen
branded or sponsored closed-end funds, are subject to the 60-day holding requirement.

&nbsp;&nbsp;&nbsp;&nbsp;• You may sell the security on
the 60th day after purchase, provided you obtain pre-clearance or an approved exemption applies.

&nbsp;&nbsp;&nbsp;&nbsp;• You may re-purchase a security
immediately after executing a sale of that same security subject to pre- clearance approval, which will trigger a new 60 calendar day
holding period.

&nbsp;&nbsp;&nbsp;&nbsp;• You may close a position at a
loss at any time provided pre-clearance approval has been obtained, or an approved exemption applies. If your pre-clearance has been
denied, it is advisable that you contact the Nuveen Ethics Office if you are seeking to sell at a loss within 60 days of your purchase.

**10.** **Comply with trading restrictions described in the prospectuses for all Affiliated Funds.** This includes restrictions on frequent trading in shares of any open-end Affiliated Fund.

**11.** **Pre-clear any transaction in a Managed Account that involves your influence.** You must also immediately consult with the Nuveen Ethics Office to discuss whether the account in question can properly
remain classified as a Managed Account.

**12.** **Obtain the required approvals before any transaction in a Private Placement, including PIPEs.** Participation and approval for all transactions in Private Placements advised or sub-advised
by Nuveen, is facilitated by the Nuveen Employee Investment Program (NuveenEIP@nuveen.com).

---

| | |
|:---|:---|
| **Code of Ethics** | Page 5 of 8 |

---

For all other Private Placements, you must obtain approval for initial and subsequent commitments to invest but not sales/redemptions. Be aware that sales/redemptions are

Reportable Transactions. Approval is required even if the investment is made in a Managed Account.

---

| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**WHAT NEEDS TO BE PRE-CLEARED** |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <br> **Pre-clearance required**<br>&nbsp;&nbsp;&nbsp;&nbsp;• All actively initiated trades in Reportable Securities, except those listed here under "No pre- clearance required."<br> &nbsp;&nbsp;&nbsp;&nbsp;• The sale of restricted stock or employee stock options accrued during prior employment or a Household Member's employment require pre-clearance. If pre- clearance is denied, you may contact the Nuveen Ethics Office to request reconsideration.<br> &nbsp;&nbsp;&nbsp;&nbsp;• You may liquidate a position recently acquired through inheritance or a spin-off, subject to pre-clearance approval. If your pre-clearance has been denied, you may contact the Nuveen Ethics Office to seek an exemption.<br>Be aware that pre-clearance can be withdrawn even after it has been granted, and even after you have traded, if Nuveen later becomes aware of Affiliate-Advised Account or Portfolio trades whose existence would have resulted in denial of pre-clearance. In these cases you may be required to reverse a trade and/or forfeit an appropriate portion of any profit, as determined by the Nuveen Ethics Office.<br>Be aware that trades initiated by a broker to address the financial standing of an account can result in violations and will generally not be protected by the Code's "actively initiated trade" language for trades requiring pre- clearances. Examples include, but are not limited to, brokers initiating trades in margin accounts, brokers initiating trades to cover account fees, and brokers initiating trades to remediate a minimum or negative cash balance in an account. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; **Pre-clearance not required**<br>&nbsp;&nbsp;&nbsp;&nbsp;• Shares of any open-end mutual fund (including Affiliated Funds). Note that closed-end funds, including Nuveen branded or sponsored closed-end funds, require<br> pre-clearance.<br> &nbsp;&nbsp;&nbsp;&nbsp;• ETFs, ETNs, UITs (including options on ETFs and ETNs).<br> &nbsp;&nbsp;&nbsp;&nbsp;• CDs and commercial paper.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Securities acquired or disposed of through actions outside your control or issued pro rata to all holders of the same class of investment, such as automatic dividend reinvestments, stock splits, mergers, spin-offs, or rights subscriptions.<br> &nbsp;&nbsp;&nbsp;&nbsp;• The automatic exercise or liquidation by an exchange of a derivative instrument upon expiration or the delivery of securities pursuant to a written option that is exercised against you, and the assignment of options.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Sales pursuant to a bona fide tender offer.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Trades made through an Automatic Investment Plan that have been disclosed to the Nuveen Ethics Office in advance.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Trades in a Managed Account (except that you must pre-clear any trades that involve your influence, any initial purchases of Private Placements, purchases in any equity IPO, and any sales or redemptions of Private<br> Placements that are branded, sponsored, advised or sub- advised by Nuveen).<br> &nbsp;&nbsp;&nbsp;&nbsp;• Foreign currencies, including futures.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Commodity instruments.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Index options and index futures.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Direct investments in cryptocurrencies.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Crypto instruments that are comprised of and invest solely in cryptocurrencies.<br>|

---

**OTHER RESTRICTIONS**

**13.** **Never knowingly trade any security being traded or considered for trade by any Affiliate-Advised Account or Portfolio.** This applies to employee transactions in securities that are exempt from pre- clearance,
and includes equivalent or related securities.

For example, if a company's common stock is being traded, you may face restrictions on trading any of the company's debt, preferred, or foreign equivalent securities, and from trading or exercising any options based on the company's securities.

**14.** **Always prioritize client trades over personal trades.** Your
 fiduciary duties to the client are far more important than your personal trading, which is a privilege and not a right. Never delay
 or in any way alter the timing or terms of a client trade for
your personal benefit.

15. Do not engage in trading that involves single stock futures.

**16.** **Do not engage in uncovered short sales of individual securities.** 

**17.** **You may trade options on individual securities, subject to the 60-day holding period.** Options traded must have an expiration of at least 60 days from the date that you enter into the contract. You are
not permitted to close an option at a profit within 60 days of having entered into the contract. The option contract can be closed in
less than 60 days at a loss, provided pre- clearance approval has been obtained.

18. Never participate in an investment club or similar entity.

**19.** **Do not engage in excessive or inappropriate trading activity. Never let personal trading interfere with your professional duties.** The

---

| | |
|:---|:---|
| **Code of Ethics** | Page 6 of 8 |

---

Nuveen Ethics Office will monitor for potentially excessive or inappropriate trading, and notify you, your manager, and your local/designated CCO for assessment.

**20.** **Pre-clear the sale of securities in a margin account.** Margin accounts
are permitted, however you must obtain pre-clearance when selling to meet a margin call, even if the transaction is initiated by a broker.

**21.** **Never purchase an IPO without advance approval.** This includes
Managed Accounts. Equity IPO participation is generally prohibited but approval may be granted in special circumstances, such as when:

• You already have equity in the
company and are offered shares.

• You are a policy holder or depositor
in a company that is demutualizing.

• A Household Member has been offered
shares as an employee.

Purchases of initial offerings of SPACs, fixed income securities, convertible securities, preferred securities, open- and closed-end funds, commodity pools, and secondary equity offerings are generally permitted subject to prior approval from the Nuveen Ethics Office.

---

| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**MATERIAL NON-PUBLIC INFORMATION** |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <br> **What is Material Non-Public Information?**<br>Material Non-Public Information is defined as information regarding any security, securities-based derivatives or issuer of a security that is both material and non-public. Information is material if both of the following are true:<br>&nbsp;&nbsp;&nbsp;&nbsp;• A reasonable investor would likely consider it important when making an investment decision.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Public release of the information would likely affect the price of a security.<br>Information is generally non-public if it has not been distributed through a widely used public medium, such as a press release or a report, filing or other periodic communication.<br>**Restrictions and requirements**<br>&nbsp;&nbsp;&nbsp;&nbsp;• Any time you think you might have, or may be about to, come into possession of Material Non-Public Information (whether in connection with your position at Nuveen or not), alert the Nuveen Ethics Office. Alternatively, you may alert your local/designated CCO or Legal office, who in turn must promptly notify the Nuveen Ethics Office. Follow the instructions you are given.<br>| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;• Until you receive further instructions from the Nuveen Ethics Office, your local/designated CCO, or Legal, do not take any action in relation to the information, including trading or recommending the relevant securities or communicating the information to anyone else.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Never make decisions on your own regarding potential Material Non-Public Information, including whether such information is actually Material Non-Public Information or what steps should be taken.<br> &nbsp;&nbsp;&nbsp;&nbsp;• If the Nuveen Ethics Office, your local/designated CCO and/or Legal determine that you have Material Non- Public Information:<br> – Do not buy, sell, gift, or otherwise dispose of the issuer's securities, whether on behalf of an Affiliate-Advised Account or Portfolio, yourself, or anyone else.<br> – Do not in any way recommend, encourage, or influence others to transact in the issuer's securities, even if you do not specifically disclose or reference the Material Non- Public Information.<br> – Do not communicate the Material Non-Public Information to anyone, whether inside or outside Nuveen, except in discussions with the Nuveen Ethics Office and Legal and as expressly permitted by any confidentiality agreement or supplemental policies and procedures of your business unit.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Please refer to Nuveen's Material Non-Public Information and Insider Trading Policy for detailed information.<br>|

---

**REPORTING REQUIREMENTS**

**UPON BECOMING A NUVEEN EMPLOYEE**

**22.** **Within 10 calendar days of starting at Nuveen, acknowledge receipt of the Code.** This includes
 certifying that you have read the Code, understand it, recognize that you are subject to
 it, have complied with all of its applicable requirements, and have submitted all Code-required
 reports.

23. Within
 10 calendar days of starting at Nuveen, use PTA to report all of your Reportable Accounts
 and holdings in Reportable Securities.

Report all Reportable Accounts using PTA within 10 calendar days of starting at Nuveen. You must also report all holdings in Reportable Securities within 10 calendar days by uploading the most recent statement, making sure that it includes information about the broker, dealer, or bank through which the account is held and the type of account. For each Reportable Security, provide the security name and type, a ticker symbol or CUSIP, the number of shares or units held, and the principal amount (dollar value).

---

| | |
|:---|:---|
| **Code of Ethics** | Page 7 of 8 |

---

This information must be no older than 45 calendar days before your first day of employment.

Note that there are separate procedures for Managed Accounts, as described below in item 27.

**24.** **Within 10 calendar days of starting at Nuveen, report all current investments in Private Placements (limited offerings).** Limited offerings are Reportable Securities.

**25.** **Within 30 calendar days of starting at Nuveen, move or close any Reportable Account that is not at an approved firm.** This does not include Reportable Accounts that are 401(k), HSA,
 ESPP/ESOP, or 529 plans, or Reportable Accounts that cannot trade or hold Reportable Securities.
 Accounts held directly with a mutual fund complex or mutual fund only platform that are not
 held with a bank or broker-dealer, and in which open-end non-Affiliated Funds are the only
 possible investment are not reportable. Contact the Nuveen Ethics Office if you are unsure
 whether your account must be held with an approved firm. The list of approved firms is maintained
 by the Nuveen Ethics Office and may be accessed on PTA.

Under very limited circumstances, it may be possible to obtain a waiver to keep a Reportable Account at a non- approved firm. Examples include:

&nbsp;&nbsp;&nbsp;&nbsp;• An
account owned by a Household Member who works at another financial firm with comparable restrictions.

&nbsp;&nbsp;&nbsp;&nbsp;• An
account that holds securities that cannot be transferred.

&nbsp;&nbsp;&nbsp;&nbsp;• An
account that cannot be moved because of a trust agreement.

To apply for an exception, contact the Nuveen Ethics Office. For any account granted an exception, you are required to upload statements for the account in PTA based on the frequency with which a statement is generated for the account (e.g. monthly, quarterly). In all cases, if your accounts are not held at an approved firm, you must manually enter all Reportable Transactions in PTA within 5 days of execution.

Consultants and temporary workers are generally not required to move or close Reportable Accounts.

**26.** **Within 30 calendar days of starting at Nuveen, seek approval to liquidate any securities held prior to starting at Nuveen that you do not wish to continue to hold.** If you wish to liquidate
 securities that you held prior to joining Nuveen, seek approval by contacting the Nuveen
 Ethics Office within 30 calendar days of starting at Nuveen. If you do not liquidate securities
 during this time, you will generally forfeit this consideration for liquidation.

**WHEN OPENING ANY MANAGED ACCOUNT**

**27.** **Get pre-approval for any new Managed Account before any trading activity commences** and report the account within 10 calendar days of
 the date you or a Household Member opens the account or an account becomes a Reportable Account through marriage, cohabitation,
 divorce, death, or another event. Using the appropriate form which may be accessed in PTA, provide representations that support the
 classification of the account as a Managed Account. For an account to be classified as a Managed Account, the account owner must
 have no direct or indirect influence or control over the securities in the account. The form must be signed by the account's
 broker or investment manager and by all account owners. You may be asked periodically to confirm these representations or submit an
 updated form to confirm such. Note that upon request, you are also responsible for providing duplicate statements for the Managed Account to the Ethics Office.

**WHEN OPENING ANY NEW REPORTABLE ACCOUNT**

**28.** **Report any new Reportable Account,** including Managed Accounts. Do this in PTA within 10 calendar
 days of the date you or a Household member opens the account or an account becomes a Reportable
 Account through marriage, cohabitation, divorce, death, or another event.

**EVERY QUARTER**

**29.** **Within 30 calendar days of the end of each calendar quarter, verify in PTA that all Reportable Transactions made during that quarter have been reported.** PTA will display all transactions of yours
 for which it has received notice
 (except transactions in your TIAA pension and retirement plan accounts, which you are not
 required to report because the firm accesses this information directly). For any other Reportable
 Transactions not displayed, or displayed inaccurately, you are responsible for making any
 necessary revisions in PTA prior to completing your certification.

**30.** For
 each Reportable Transaction, you must provide, as applicable, the transaction date, security
 name and type, ticker symbol or CUSIP, interest rate (coupon) and
 maturity date, number of shares, price at which the transaction was effected, principal amount
 (dollar value), the nature of the trade (buy or sell), and the name of the broker, dealer,
 or bank that effected the transaction. It is very important that you carefully review and
 verify the transactions and related details displayed in PTA, checking for accuracy and completeness.
 Once again, if you find any errors or omissions, correct or add to your list of transactions
 in PTA.

---

| | |
|:---|:---|
| **Code of Ethics** | Page 8 of 8 |

---

**EVERY YEAR**

31. Within 45 calendar days of the end of
 each calendar year, acknowledge receipt of the most recent version of the Code and certify in PTA as
 to your annual Reportable Security holdings and Reportable Accounts.

The reporting must contain the information described in item 23 above, and include your certification that you have reported all Reportable Accounts, and all holdings in Reportable Securities at year end. You are responsible for ensuring that all of your Reportable Accounts have been accurately reported in PTA. If any of your holdings in Reportable Securities are not displayed in PTA or are displayed inaccurately, you are responsible for entering adjustments and trade confirms or making any necessary revisions in PTA to complete your certification.

In addition, you must affirm each year through PTA that each Managed Account is properly classified as a Managed Account, for yourself and on behalf of any Household Member. This separate certification does not require broker or investment manager involvement.

You also must acknowledge any amendments to the Code that occur during the course of the year.

---

| |
|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**ADDITIONAL RULES FOR SECTION 16 PERSONS** |
| &nbsp;&nbsp;&nbsp;&nbsp; <br> &nbsp;&nbsp;&nbsp;&nbsp;• Pre-clear transactions in all closed-end funds through PTA. Any requests involving Nuveen closed-end funds will be reviewed by Legal.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Pre-clear buy/sell transactions involving any Nuveen closed-end funds within your Managed Account(s).<br> &nbsp;&nbsp;&nbsp;&nbsp;• When selling for a gain any securities you buy that are issued by the entity of which you are a Section 16 Person, make sure it is at least 6 months after your most recent purchase of that security. This rule extends to any options or other transactions that may have the same effect as a purchase or sale, and is tested on a last-in- first-out basis. You may be required to surrender any gains realized through a violation of this rule. Note that for any fund of which you are a Section 16 Person, no exception from pre-clearance is available.<br> &nbsp;&nbsp;&nbsp;&nbsp;• Promptly email to the appropriate contact in Legal the details of all executed transactions in Nuveen closed-end funds of which you are a Section 16 Person.<br> &nbsp;&nbsp;&nbsp;&nbsp;• See the Nuveen Funds Section 16 Policy and Procedures for additional information.<br> If you are unsure whether you are a Section 16 Person, contact Legal or the Nuveen Ethics Office.<br>|

---

---

| |
|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;**CODE ADMINISTRATION** |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <br> **Training**<br>You will be required to participate in training on the Code when joining Nuveen as well as periodically during the time you are subject to the Code.<br>**Exceptions**<br>The Code exists to prevent violations of law. The Nuveen Ethics Office may, under certain circumstances, grant waivers from a Code requirement. No waivers or exceptions that would violate any law will be granted.<br>**Monitoring**<br>The Nuveen Ethics Office is responsible for monitoring accounts, transactions, holdings and certifications for any violations of this Code.<br>**Consequences of violation**<br>Any individual who violates the Code is subject to penalty. Penalties could include, among other possibilities, a written warning, restriction of trading privileges, unwinding or reversing trades, disgorgement of trading profits, fines, and suspension or termination of employment.<br>**Applicable rules**<br>The Code has been adopted in recognition of Nuveen's fiduciary obligations to clients and in accordance with various provisions of Rule 204A-1 under the Investment Advisers Act of 1940 and Rule 17j-1 under the Investment Company Act of 1940. This Code is also adopted by the Affiliated Funds advised by Nuveen Fund Advisors, LLC, TIAA-CREF Investment Management, LLC and Teachers Advisors, LLC under Rule 17j-1.<br>Some elements of the Code also constitute part of Nuveen's response to Financial Industry Regulatory Authority (FINRA) requirements that apply to registered personnel of Nuveen Securities, LLC.<br>|

---

![](img_3f6a36dac3534f3.jpg)

**Winslow Capital Management, LLC supplement to Nuveen Code of Ethics**

This supplement contains an additional restriction on personal securities transactions that applies to all employees of Winslow Capital Management, LLC ("WCM").

All WCM employees and their Household Members (as defined in the Nuveen Code of Ethics ("Code")) are prohibited from transacting in any security held in any account, portfolio or fund advised or sub- advised by WCM. This prohibition includes any options or derivatives related to such securities.

All WCM employees and their Household Members are prohibited from transacting in single stock ETFs. All WCM employees and their Household Members are prohibited from transacting in:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;· IQ Winslow Large Cap Growth ETF (NYSE: IWLG)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;· IQ Winslow Focused Large Cap Growth ETF (NYSE: IWFG)

Any exception to these restrictions must be approved in advance in writing by WCM's Chief Compliance Officer. The above restrictions do not apply to securities held in a Managed Account as defined in the Code. Any violation of these restrictions is punishable as a Code violation.

![](img_17b19744f8264f3.jpg)

![](img_f437fc6932704f3.jpg)

**Policy Details**

---

| | |
|:---|:---|
| &nbsp;&nbsp;Policy Owner | &nbsp;&nbsp;Winslow Capital Chief Compliance Officer |
| &nbsp;&nbsp;Policy Leader | &nbsp;&nbsp;Winslow Capital Chief Compliance Officer |
| &nbsp;&nbsp;Review Cycle | &nbsp;&nbsp;Annual |
| &nbsp;&nbsp;Approver(s) | &nbsp;&nbsp;Immaterial Changes to Policy – Management Committee ("WCM MC") Material Changes to Policy – Executive Committee ("WCM EC") |
| &nbsp;&nbsp;Applicability | &nbsp;&nbsp;All employees of Winslow Capital Management, LLC |

---

**Review and Version Control Log**

---

| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;**Effective Date** | &nbsp;&nbsp;**Material<br> Change?** | &nbsp;&nbsp;**Approver** | &nbsp;&nbsp;**Approval Date** | &nbsp;&nbsp;**Summary of Change** |
| &nbsp;&nbsp;January 2013 |  | &nbsp;&nbsp; Operating Committee | &nbsp;&nbsp;1/1/2013 | &nbsp;&nbsp;Policy Inception. |
| &nbsp;&nbsp;May 1, 2016 | &nbsp;&nbsp;No | &nbsp;&nbsp;Laura Hawkins | &nbsp;&nbsp;5/17/2016 | &nbsp;&nbsp;Adoption of Review and Version Control Log. |
| &nbsp;&nbsp;June 30, 2017 | &nbsp;&nbsp;No | &nbsp;&nbsp;Laura Hawkins | &nbsp;&nbsp;6/30/2017 | &nbsp;&nbsp;Annual Policy review. No changes. |
| &nbsp;&nbsp;July 15, 2018 | &nbsp;&nbsp;No | &nbsp;&nbsp;Laura Hawkins | &nbsp;&nbsp;7/30/2018 | &nbsp;&nbsp;Annual Policy review. No changes. |
| &nbsp;&nbsp;September 15, 2019 | &nbsp;&nbsp;No | &nbsp;&nbsp;WCM MC | &nbsp;&nbsp;9/13/2019 | &nbsp;&nbsp;Annual Policy review. Administrative changes. |
| &nbsp;&nbsp;October 31, 2020 | &nbsp;&nbsp;No | &nbsp;&nbsp;WCM MC | &nbsp;&nbsp;10/30/2020 | &nbsp;&nbsp;Annual Policy review. Administrative changes. |
| &nbsp;&nbsp;October 29, 2021 | &nbsp;&nbsp;No | &nbsp;&nbsp;WCM MC | &nbsp;&nbsp;10/29/2021 | &nbsp;&nbsp;Annual Policy Review. No changes. |
| &nbsp;&nbsp;October 26, 2022 | &nbsp;&nbsp;Yes | &nbsp;&nbsp;WCM EC | &nbsp;&nbsp;10/26/2022 | &nbsp;&nbsp;Annual Policy Review. Substantive changes to add additional restrictions for ETFs. |

---

![](img_17b19744f8264f3.jpg)

## Ex-99.P

![](img_87e2cf87285c4f4.jpg)

---

| | |
|:---|:---|
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;*The reputation of a thousand years may be determined by the conduct of one hour.* |
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;– Ancient proverb |
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;A message from our CEO |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;![](img_e95d5529871f4f4.jpg)<br> **Jean M. Hynes**<br> Chief Executive Officer | Our ability to thrive as an organization is driven by our shared values, and integrity is at the top of the list. This is reflected in our commitment to the "Client, Firm, Self" framework, through which all of our decisions should be viewed if we are to earn and maintain the trust of our clients.<br>Each and every one of us has a role to play in sustaining our clients' trust. We must test every decision we make, no matter how small, against our fiduciary obligations and our high ethical standards. If there is the slightest doubt about whether a decision is in the best interests of our clients, then bring it to someone's attention — your manager, the Legal and Compliance team, or any of my direct reports. But don't just let it go. This is what it means to be a fiduciary: complete dedication to conscientious stewardship of client assets.<br>To support this mandate, our Code of Ethics sets out standards for our personal conduct, including personal investing, acceptance of gifts and entertainment, outside activities, and client confidentiality. Please take the time to read the Code, familiarize yourself with the rules, and determine what you need to do to comply with them.<br>Remember, too, that while our Code of Ethics is reviewed and updated regularly, no set of rules can address every possible circumstance. And so I ask you to remain vigilant, exercise good judgment, ask for help when you need it, consider not just the letter but the spirit of the laws that govern our industry, and do your part to safeguard our clients' trust.<br>Sincerely,<br>![](img_4aa56be41efb4f4.jpg) <br>Jean M. Hynes<br> Chief Executive Officer<br>|

---

---

| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Contents |  |
| Standards of conduct | 1 |
| Who is subject to the Code of Ethics? | 1 |
| Personal investing | 2 |
| Which types of investments and related activities are prohibited? | 2 |
| Which investment accounts must be reported? | 3 |
| What are the reporting responsibilities for all personnel? | 4 |
| What are the preclearance responsibilities for all personnel? | 5 |
| What are the additional requirements for investment professionals? | 6 |
| Gifts and entertainment | 7 |
| Outside activities | 8 |
| Client confidentiality | 8 |
| How we enforce our Code of Ethics | 8 |
| Exceptions from the Code of Ethics | 9 |
| Closing | 9 |

---

Wellington Management Code of Ethics 1

Standards of conduct

Our standards of conduct are straightforward and essential. Any transaction or activity that violates either of the standards of conduct below is prohibited, regardless of whether it meets the technical rules found elsewhere in the Code of Ethics.

&nbsp;&nbsp;&nbsp;&nbsp;1. **We act as fiduciaries to our clients**. Each of us must put our clients' interests above our own and must not take advantage of our management of clients' assets for our own benefit. Our firm's policies and procedures implement these principles with respect to our conduct of the firm's business. This Code of Ethics implements the same principles with respect to our personal conduct. The procedures set forth in the Code govern specific transactions, but each of us must be mindful at all times that our behavior, including our personal investing activity, must meet our fiduciary obligations to our clients.

&nbsp;&nbsp;&nbsp;&nbsp;2. **We act with integrity and in accordance with both the letter and the spirit of the law**. Our business is highly regulated, and we are committed as a firm to compliance with those regulations. Each of us must also recognize our obligations as individuals to understand and obey the laws that apply to us in the conduct of our duties. They include laws and regulations that apply specifically to investment advisors, as well as more broadly applicable laws ranging from the prohibition against trading on material nonpublic information and other forms of market abuse to anticorruption statutes such as the US Foreign Corrupt Practices Act and the UK Bribery Act. The firm provides training on their requirements. Each of us must take advantage of these resources to ensure that our own conduct complies with the law.

Who is subject to the Code of Ethics?

Our Code of Ethics applies to all employees of Wellington Management and its affiliates around the world. Its restrictions on personal investing also apply to temporary personnel (including co-ops and interns) and consultants whose tenure with Wellington Management exceeds 90 days and who are deemed by the Chief Compliance Officer to have access to nonpublic investment research, client holdings, or trade information.

All Wellington Management personnel receive a copy of the Code of Ethics (and any amendments) and must certify, upon joining the firm and annually thereafter, that they have read and understood it and have complied with its requirements.

**Adherence to the Code of Ethics is a basic condition of employment. Failure to adhere to our Code of Ethics may result in disciplinary action, including termination of employment.**

If you have any doubt as to the appropriateness of any activity, believe that you have violated the Code, or become aware of a violation of the Code by another individual, you should consult the manager of the Code of Ethics Team, Chief Compliance Officer, General Counsel, or Chair of the Ethics Committee. You also have the right to report violations of law or regulation directly to relevant governmental agencies. You do not need the firm's prior authorization to make any such report or disclosures and are not required to notify the firm that you have done so.

For additional information regarding our **Code of Ethics Policy** refer to the **Guide to Our Policy** document available on the firm's Intranet.

Wellington Management Code of Ethics 2

Personal investing

As fiduciaries, each of us must avoid taking personal advantage of our knowledge of investment activity in client accounts. Although our Code of Ethics sets out a number of specific restrictions on personal investing designed to reflect this principle, no set of rules can anticipate every situation. Each of us must adhere to the spirit, and not just the letter, of our Code in meeting this fiduciary obligation to our clients.

Which types of investments and related activities are prohibited?

Our Code of Ethics prohibits the following personal investments and investment-related activities:

&nbsp;&nbsp;&nbsp;&nbsp;· Purchasing
 or selling the following:

– Initial public offerings (IPOs) of any securities

– Securities of an issuer being bought or sold on behalf of clients until one trading day after such buying or selling is completed or canceled

– Securities of an issuer that is the subject of a new, changed, or reissued but unchanged action recommendation from a global industry research or fixed income credit analyst until two business days following issuance or reissuance of the recommendation

– Securities of an issuer that is mentioned at the Morning Meeting or the Early Morning Meeting until two business days following the meeting

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| Securities that are the subject of a firmwide restriction |
| Single-stock futures |
| Single-Stock ETFs (including Leveraged Single-Stock ETFs, Inverse Single-Stock ETFs, and Hedged Single-Stock ETFs) |

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| Securities or financial instruments whose performance is derived from the performance of a security covered by our Code of Ethics (e.g. single stock ETFs and single stock futures) |
| Options with an expiration date that is within 60 calendar days of the transaction date (excluding shares of exchange-traded funds (ETFs)) |

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| Securities of broker/dealers (or their affiliates) that the firm has approved for execution of client trades |
| Securities of any securities market or exchange on which the firm trades on behalf of clients |

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&nbsp;&nbsp;&nbsp;&nbsp;· Purchasing an equity security if your aggregate ownership of the equity security exceeds 0.05% of the total shares outstanding of the issuer

&nbsp;&nbsp;&nbsp;&nbsp;· Taking a profit from any trading activity within a 60-calendar day window

&nbsp;&nbsp;&nbsp;&nbsp;· Using a derivative instrument to circumvent a restriction in the Code of Ethics

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Wellington Management Code of Ethics 3

**WHICH INVESTMENT ACCOUNTS MUST BE REPORTED?**

You are required to report any investment account over which you exercise investment discretion or from which any of the following individuals enjoy economic benefits: (i) your spouse, domestic partner, or minor children, and (ii) any other dependents living in your household,

AND

that holds or is capable of holding any of the following *covered investments*:

&nbsp;&nbsp;&nbsp;&nbsp;• Shares
 of stocks, ADRs, or other equity securities (including any security convertible into equity
 securities)

&nbsp;&nbsp;&nbsp;&nbsp;• Bonds
 or notes (other than sovereign government bonds issued by Canada, France, Germany, Italy,
 Japan, the United Kingdom, or the United States, as well as bankers' acceptances, CDs,
 commercial paper, and high-quality, short-term debt instruments)

&nbsp;&nbsp;&nbsp;&nbsp;• Interest
 in a variable annuity product in which the underlying assets are held in a subaccount managed
 by Wellington Management

&nbsp;&nbsp;&nbsp;&nbsp;• Shares
 of exchange-traded funds (ETFs)

&nbsp;&nbsp;&nbsp;&nbsp;• Shares
 of closed-end funds

&nbsp;&nbsp;&nbsp;&nbsp;• Options
 on securities

&nbsp;&nbsp;&nbsp;&nbsp;• Securities
 futures

&nbsp;&nbsp;&nbsp;&nbsp;• Interest
 in private placement securities (other than Wellington Management sponsored products)

• Shares
 of funds managed by Wellington Management (other than money market funds) Please

see **Appendix A** for a detailed summary of reporting requirements by security type.

For purposes of the Code of Ethics, these investment accounts are referred to as *reportable accounts*. Examples of common account types include brokerage accounts, retirement accounts, employee stock compensation plans, and transfer agent accounts. Reportable accounts also include those from which you or an immediate family member may benefit indirectly, such as a family trust or family partnership, and accounts in which you have a joint ownership interest, such as a joint brokerage account.

**Accounts not requiring reporting**

You do not need to report the following accounts via the Code of Ethics System since the administrator will provide the Code of Ethics Team with access to relevant holdings and transaction information:

&nbsp;&nbsp;&nbsp;&nbsp;• Accounts maintained within the Wellington Retirement and Pension Plan or similar firm-sponsored retirement or benefit plans identified by the Ethics Committee

&nbsp;&nbsp;&nbsp;&nbsp;• Accounts maintained directly with Wellington Trust Company or other Wellington Management Sponsored Products

Although these accounts do not need to be reported, your investment activities in these accounts must comply with the standards of conduct embodied in our Code of Ethics.

Wellington Management Code of Ethics 4

**Managed account exemptions**

An account from which you or immediate family members could benefit financially, but over which neither you nor they have any investment discretion or influence (a *managed account*), may be exempted from the Code of Ethics' personal investing requirements upon written request and approval. An example of a managed account would be a professionally advised account about which you will not be consulted or have any input on specific transactions placed by the investment manager prior to their execution.

**Designated Brokers for US Reportable Accounts**

US-based reportable accounts must be held at one or more of the brokers on the Designated Brokers List. This requirement does not apply to managed accounts that are exempt from certain provisions of the Code of Ethics, employee stock purchase and stock option plans and other accounts (including pension, retirement and compensation accounts) required to be held at a specific broker.

New employees must transfer all reportable accounts to a Designated Broker within 45 days from the start of their employment.

**WHAT ARE THE REPORTING Responsibilities for ALL PERSONNEL?**

**Initial and annual holdings reports**

You must disclose all reportable accounts and all covered investments you hold within 10 calendar days after you begin employment at or association with Wellington Management. You will be required to review and update your holdings and

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| securities account information annually thereafter.<br>For initial holdings reports, holdings information must be current as of a date no more than 45 days prior to the date you became covered by the Code of Ethics.<br>*Please note that you cannot make personal trades until you have filed an initial holdings report via the Code of Ethics System on the Intranet.* | ![](img_2a67299fff054f4.jpg) |

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For subsequent annual reports, holdings information must be current as of a date no more than 45 days prior to the date the report is submitted. *Please note that your annual holdings report must account for both volitional and non-volitional transactions.*

At the time you file your initial and annual reports, you will be asked to confirm that you have read and understood the Code of Ethics and any amendments.

**Quarterly transactions reports**

You must submit a quarterly transaction report no later than 30 calendar days after quarter-end via the Code of Ethics System on the Intranet, even if you did not make any personal trades during that quarter. In the reports, you must either confirm that you did not make any personal trades (except for those resulting from non-volitional events) or provide information regarding all volitional transactions in covered investments.

**Duplicate statements and trade confirmations**

For each of your reportable accounts, you are required to provide duplicate statements and duplicate trade confirmations to Wellington Management.

Wellington Management Code of Ethics 5

**WHAT ARE THE PRECLEARANCE Responsibilities for ALL PERSONNEL?**

**Preclearance of publicly traded securities**

You must receive clearance before buying or selling stocks, bonds, options, and most other publicly traded securities in any reportable account. A full list of the categories of publicly traded securities requiring preclearance, and of certain exceptions to this requirement, is included in **Appendix A**. Transactions in accounts that are not reportable accounts do not require preclearance or reporting.

Preclearance requests must be submitted online via the Code of Ethics System, which is accessible through the Intranet. If clearance is granted, the approval will be effective for a period of 24 hours. If you preclear a transaction and then place a limit order with your broker, that limit order must either be executed or expire at the end of the 24-hour period. *If you want to execute the order after the 24-hour period expires, you must resubmit your preclearance request.*

 

**Please note that preclearance approval does not alter your responsibility to ensure that each personal securities transaction complies with the general standards of conduct, the reporting requirements, the restrictions on short-term trading, or the special rules for investment professionals set out in our Code of Ethics .**

**Caution on short sales, margin transactions, and options**

You may engage in short sales and margin transactions and may purchase or sell options (excluding options on ETFs) provided you receive preclearance and meet all other applicable requirements under our Code of Ethics (including the additional rules for investment professionals described on page 7). *Please note, however, that these types of transactions can have unintended consequences.* For example, any sale by your broker to cover a margin call or to buy in a short position will be in violation of the Code unless precleared. Likewise, any volitional sale of securities acquired at the expiration of a long call option will be in violation of the Code unless precleared. You are responsible for ensuring any subsequent volitional actions relating to these types of transactions meet the requirements of the Code.

**Preclearance of private placement securities**

You cannot invest in securities offered to potential investors in a private placement without first obtaining prior approval. Approval may be granted after a review of the facts and circumstances, including whether:

· an
 investment in the securities is likely to result in future conflicts with client accounts
 (e.g., upon a future public offering), and

· you
 are being offered the opportunity due to your employment at or association with Wellington
 Management.

Investments in our own privately offered investment vehicles (our *Sponsored Products*), including collective investment funds and common trust funds maintained by Wellington Trust Company, **na**, our hedge funds, and our non-US domiciled funds, have been approved under the Code and therefore do not require the submission of a Private Placement Approval Form.

Wellington Management Code of Ethics 6

**WHAT ARE THE ADDITIONAL REQUIREMENTS FOR INVESTMENT PROFESSIONALS?**

If you are a portfolio manager, research analyst, or other investment professional who has portfolio management responsibilities for a client account (e.g., designated portfolio manager, backup portfolio manager, investment team member), or who otherwise has direct authority to make decisions to buy or sell securities in a client account (referred to here as an investment professional), you are required to adhere to additional rules and restrictions on your personal securities transactions. However, as no set of rules can anticipate every situation, you must remember to place our clients' interests first whenever you transact in securities that are also held in client accounts you manage.

The following provisions of the code are intended to allow investment professionals to make long-term investments in securities. However, you may not be able to sell personal investments for extended periods of time and therefore should consider the liquidity, tax planning, market, and similar risks associated with making personal investments in securities of an issuer that are or may be held in client accounts.

· **INVESTMENT PROFESSIONAL BLACKOUT PERIODS** —
 You cannot buy or sell a security (excluding shares of exchange-traded funds (ETFs)) for
 a period of **14 calendar days before or after** any transaction in the same issuer by
 a client account for which you serve as an investment professional. In addition, you may
 not sell personal holdings in a security of the same issuer that is held by a client account
 for which you serve as an investment professional until the **later of** the following
 periods: (i) **one calendar year** from the date of your last purchase and (ii) **90 calendar days** after all of your client accounts liquidate all holdings of the same issuer.

If you anticipate receiving a cash flow or redemption request in a client portfolio that will result in the purchase or sale of securities that you also hold in your personal account, you should take care to avoid transactions

in those securities in your personal account in the days leading up to the client transactions. However, unanticipated cash flows and redemptions in client accounts and unexpected market events do occur from time to time, and a personal trade made in the prior 14 days should never prevent you from buying or selling a security in a client account if the trade would be in the client's best interest. If you find yourself in that situation and need to buy or sell a security in a client account within the 14 calendar days following your personal transaction in a security of the same issuer, you should attempt to notify the Code of Ethics Team or your local Compliance Officer in advance of placing the trade. If you are unable to reach any of those individuals and the trade is time sensitive, you should proceed with the client trade and notify the Code of Ethics Team promptly after submitting it.

· **SHORT SALES BY AN INVESTMENT PROFESSIONAL**— An investment professional may not personally take a short position in a security of an issuer in which he or she holds a long position in a client account.

Wellington Management Code of Ethics 7

Gifts and entertainment

Our guiding principle of "client, firm, self" also governs the receipt of gifts and entertainment from clients, consultants, brokers/dealers, research providers, vendors, companies in which we may invest, and others with whom the firm does business. As fiduciaries to our clients, we must always place our clients' interests first and cannot allow gifts or entertainment opportunities to influence the actions we take on behalf of our clients. In keeping with this standard, you must follow several specific requirements:

**ACCEPTING GIFTS** — You may only accept gifts of nominal value, which include logoed items, flower arrangements, gift baskets, and food, as well as other gifts with an approximate value of less than US$100 or the local equivalent per year from a single source. You may not accept a gift of cash, including a cash equivalent such as a gift card, regardless of the amount. If you receive a gift that violates the Code, you must return the gift or consult with the Chief Compliance Officer to determine appropriate action under the circumstances.

**ACCEPTING BUSINESS MEALS** — Business meals are permitted provided that neither the cost nor the frequency is excessive and there is a legitimate business purpose. If the host is a broker/dealer or research provider, the host must be reimbursed for the full amount of your proportionate share of the total cost of the meal if the approximate value of the meal is more than US$100 or the local equivalent.

**ACCEPTING ENTERTAINMENT OPPORTUNITIES** — The firm recognizes that participation in entertainment opportunities with representatives from organizations with which the firm does business, such as consultants, broker/dealers, research providers, vendors, and companies in which we may invest, can help to further legitimate business interests. However, participation in such entertainment opportunities should be infrequent and is subject to the following conditions:

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| 1. | A representative of the hosting organization must be present; | A representative of the hosting organization must be present; |
| 2. | The primary purpose of the event must be to discuss business or to build a business relationship; | The primary purpose of the event must be to discuss business or to build a business relationship; |
| 3. | You must receive prior approval from your business manager; | You must receive prior approval from your business manager; |
| 4. | If the host is a broker/dealer or research provider, the host must be reimbursed for the full amount of the entertainment opportunity; and | If the host is a broker/dealer or research provider, the host must be reimbursed for the full amount of the entertainment opportunity; and |
| 5. | For all other entertainment opportunities, the host must be reimbursed for the full face value of any entertainment ticket(s) if: | For all other entertainment opportunities, the host must be reimbursed for the full face value of any entertainment ticket(s) if: |
|  | · | the entertainment opportunity requires a ticket with a face value of more than US$200 or the local equivalent, or is a high-profile event (e.g., a major sporting event), |
|  | · | you wish to accept more than one ticket, or |
|  | · | the host has invited numerous Wellington Management representatives. |

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Business managers must clear their own participation under the circumstances described above with the Chief Compliance Officer or Chair of the Ethics Committee.

Please note that even if you pay for the full face value of a ticket, you may attend the event *only if the host is present*.

**LODGING AND AIR TRAVEL** — You may not accept a gift of lodging or air travel in connection with any entertainment opportunity. If you participate in an entertainment opportunity for which lodging or air travel is paid for by the host, you must reimburse the host for the equivalent cost, as determined by Wellington Management's travel manager.

Wellington Management Code of Ethics 8

**SOLICITING GIFTS, ENTERTAINMENT OPPORTUNITIES, OR CONTRIBUTIONS** — In your capacity as an employee of the firm, you may not solicit gifts, entertainment opportunities, or charitable or political contributions for yourself, or on behalf of clients, prospects, or others, from brokers, vendors, clients, or consultants with whom the firm conducts business or from companies in which the firm may invest.

**SOURCING ENTERTAINMENT OPPORTUNITIES** — You may not request tickets to entertainment events from the firm's Trading department or any other Wellington Management department, or employee, nor from any broker, vendor, company in which we may invest, or other organization with which the firm conducts business.

Outside activities

While the firm recognizes that you may engage in business or charitable activities in your personal time, you must take steps to avoid conflicts of interest between your private interests and our clients' interests. As a result, all significant outside business or charitable activities (e.g., additional employment, consulting work, directorships or officerships) must be approved by your business manager and by the Chief Compliance Officer, General Counsel, or Chair of the Ethics Committee prior to the acceptance of such a position (or if you are new, upon joining the firm). Approval will be granted only if it is determined that the activity does not present a significant conflict of interest. Directorships in public companies (or companies reasonably expected to become public companies) will generally not be authorized, while service with charitable organizations generally will be permitted.

Client confidentiality

Any nonpublic information concerning our clients that you acquire in connection with your employment at the firm is confidential. This includes information regarding actual or contemplated investment decisions, portfolio composition, research recommendations, and client interests. You should not discuss client business, including the existence of a client relationship, with outsiders unless it is a necessary part of your job responsibilities.

How we enforce our Code of Ethics

Legal and Compliance is responsible for monitoring compliance with the Code of Ethics. Members of Legal and Compliance will periodically request certifications and review holdings and transaction reports for potential violations. They may also request additional information or reports.

It is our collective responsibility to uphold the Code of Ethics. In addition to the formal reporting requirements described in this Code of Ethics, you have a responsibility to report any violations of the Code. If you have any doubt as to the appropriateness of any activity, believe that you have violated the Code, or become aware of a violation of the Code by another individual, you should consult the manager of the Code of Ethics Team, Chief Compliance Officer, General Counsel, or Chair of the Ethics Committee.

Wellington Management Code of Ethics 9

Potential violations of the Code of Ethics will be investigated and considered by representatives of Legal and Compliance and/or the Ethics Committee. All violations of the Code of Ethics will be reported to the Chief Compliance Officer. Violations are taken seriously and may result in sanctions or other consequences, including:

· a
 warning

· referral
 to your business manager and/or senior management

· reversal
 of a trade or the return of a gift

· disgorgement
 of profits or of the value of a gift

· a
 limitation or restriction on personal investing

· termination
 of employment

· referral
 to civil or criminal authorities

If you become aware of any potential conflicts of interest that you believe are not addressed by our Code of Ethics or other policies, please contact the Chief Compliance Officer, the General Counsel, or the manager of the Code of Ethics Team.

Exceptions from the Code of Ethics

The Chief Compliance Officer may grant an exception from the Code, including preclearance, other trading restrictions, and certain reporting requirements on a case-by-case basis if it is determined that the proposed conduct involves no opportunity for abuse and does not conflict with client interests. Exceptions are expected to be rare.

Closing

As a firm, we seek excellence in the people we employ, the products and services we offer, the way we meet our ethical and fiduciary responsibilities, and the working environment we create for ourselves. Our Code of Ethics embodies that commitment. Accordingly, each of us must take care that our actions fully meet the high standards of conduct and professional behavior we have adopted. Most importantly, we must all remember "client, firm, self" is our most fundamental guiding principle.

Wellington Management Code of Ethics 10

APPENDIX A

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| &nbsp;&nbsp;&nbsp;**No Preclearance or Reporting Required:** |
| &nbsp;&nbsp;Open-end investment funds not managed by Wellington Management<sup>1</sup> |
| &nbsp;&nbsp;Interests in a variable annuity product in which the underlying assets are held in a fund not managed by Wellington Management |
| &nbsp;&nbsp;Direct obligations of the US government (including obligations issued by GNMA and PEFCO) or the governments of Canada, France, Germany, Italy, Japan, or the United Kingdom |
| &nbsp;&nbsp;Cash |
| &nbsp;&nbsp;Money market instruments or other short-term debt instruments rated P-1 or P-2, A-1 or A-2, or their equivalents<sup>2</sup> |
| &nbsp;&nbsp;Bankers' acceptances, CDs, commercial paper |
| &nbsp;&nbsp;Wellington Trust Company Pools |
| &nbsp;&nbsp;Wellington Sponsored Hedge Funds |
| Securities futures and options on direct obligations of the US government or the governments of Canada,<br> France, Germany, Italy, Japan, or the United Kingdom, and associated derivatives |
| &nbsp;&nbsp;Options, forwards, and futures on commodities and foreign exchange, and associated derivatives |
| &nbsp;&nbsp;Transactions in approved managed accounts |

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| &nbsp;&nbsp;**Reporting of Securities Transactions Required (no need to preclear and not subject to the 60-day holding period):** |
| &nbsp;&nbsp;Open-end investment funds managed by Wellington Management<sup>1</sup>(other than money market funds) |
| &nbsp;&nbsp;Interests in a variable annuity or insurance product in which the underlying assets are held in a fund managed by Wellington Management |
| &nbsp;&nbsp;Futures and options on securities indices |
| Shares of exchange-traded funds (ETFs) |
| &nbsp;&nbsp;Gifts of securities to you or a reportable account |
| &nbsp;&nbsp;Gifts of securities from you or a reportable account |
| &nbsp;&nbsp;Non-volitional transactions (splits, tender offers, mergers, stock dividends, dividend reinvestments, etc.) |

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| &nbsp;&nbsp;**Preclearance and Reporting of Securities Transactions Required:** |
| &nbsp;&nbsp;Bonds and notes (other than direct obligations of the US government or the governments of Canada, France, Germany, Italy, Japan, or the United Kingdom, as well as bankers' acceptances, CDs, commercial paper, and high-quality, short-term debt instruments) |
| &nbsp;&nbsp;Stock (common and preferred) or other equity securities, including any security convertible into equity securities |
| &nbsp;&nbsp;All Closed-end funds |
| &nbsp;&nbsp;Unit investment trusts |
| &nbsp;&nbsp;American Depositary Receipts |
| &nbsp;&nbsp;Options on securities (but not their non-volitional exercise or expiration), excluding ETFs |
| &nbsp;&nbsp;Warrants |
| &nbsp;&nbsp;Rights |

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| &nbsp;&nbsp;**Prohibited Investments and Activities:** |
| &nbsp;&nbsp;Initial public offerings (IPOs) of any securities |
| &nbsp;&nbsp;Single-stock futures |
| &nbsp;&nbsp;Single-Stock ETFs (including Leveraged Single-Stock ETFs, Inverse Single-Stock ETFs, and Hedged Single-Stock ETFs) |
| &nbsp;&nbsp;Securities or financial instruments whose performance is derived from the performance of a security covered by our Code of Ethics (e.g. single stock ETFs and single stock futures) |
| &nbsp;&nbsp;Options expiring within 60 days of purchase, |
| &nbsp;&nbsp;Securities being bought or sold on behalf of clients until one trading day after such buying or selling is completed or canceled |
| Securities of an issuer that is the subject of a new, changed, or reissued but unchanged action recommendation from a global industry research or fixed income credit analyst until two business days following issuance or reissuance of the recommendation |
| &nbsp;&nbsp;Securities of an issuer that is mentioned at the Morning Meeting or the Early Morning Meeting until two business days following the meeting |
| &nbsp;&nbsp;Securities on the firmwide restricted list |
| &nbsp;&nbsp;Profiting from any short-term (i.e., within 60 days) trading activity |
| &nbsp;&nbsp;Securities of broker/dealers or their affiliates with which the firm conducts business |
| &nbsp;&nbsp;Securities of any securities market or exchange on which the firm trades |
| &nbsp;&nbsp;Using a derivative instrument to circumvent the requirements of the Code of Ethics |
| &nbsp;&nbsp;Purchasing an equity security if your aggregate ownership of the equity security exceeds 0.05% of the total shares outstanding of the issuer, |

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This appendix is current as of 21 September 2022 and may be amended at the discretion of the Ethics Committee.

<sup>1</sup>A list of funds advised or subadvised by Wellington Management ("Wellington-Managed Funds") is available online via the Code of Ethics System. However, you remain responsible for confirming whether any particular investment represents a Wellington-Managed Fund.

<sup>2</sup>If the instrument is unrated, it must be of equivalent duration and comparable quality.

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