New York Life Insurance and Annuity Corp.

03/11/2026 | Press release | Distributed by Public on 03/11/2026 10:26

Notice of Sales of Unregistered Securities (Form D)

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

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

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0000907593
X Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
Other (Specify)

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Street Address 1 Street Address 2
51 MADISON AVE C/O NEW YORK LIFE INSURANCE CO
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
NEW YORK NEW YORK 10010 302-369-8500

3. Related Persons

Last Name First Name Middle Name
Kravitz Jodi L.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Gardner Robert M.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hendry Thomas A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Miller Amy
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
McDonnell Michael
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Feldstein Eric
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Rubin Janis C.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Meade Colleen A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
DeSanto Craig L.
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Gamble Michael A.
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Anderson Erik A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Sabal Craig A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture
Banking & Financial Services
Commercial Banking
X Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Environmental Services
Oil & Gas
Other Energy
Health Care
Biotechnology
Health Insurance
Hospitals & Physicians
Pharmaceuticals
Other Health Care
Manufacturing
Real Estate
Commercial
Construction
REITS & Finance
Residential
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
No Revenues No Aggregate Net Asset Value
$1 - $1,000,000 $1 - $5,000,000
$1,000,001 - $5,000,000 $5,000,001 - $25,000,000
$5,000,001 - $25,000,000 $25,000,001 - $50,000,000
$25,000,001 - $100,000,000 $50,000,001 - $100,000,000
X Over $100,000,000 Over $100,000,000
Decline to Disclose Decline to Disclose
Not Applicable Not Applicable

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

Rule 504(b)(1) (not (i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)
Rule 504 (b)(1)(iii)
Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
X Section 3(c)(1) Section 3(c)(9)
Section 3(c)(2) Section 3(c)(10)
Section 3(c)(3) Section 3(c)(11)
Section 3(c)(4) Section 3(c)(12)
Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2002-07-14 First Sale Yet to Occur
Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes No

9. Type(s) of Securities Offered (select all that apply)

Equity X Pooled Investment Fund Interests
Debt Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Variable Interests in Magnastar Private Placement Variable Universal Life Policies (Magnastar PPVUL)

10. Business Combination Transaction

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

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $100,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number None
M Holdings Securities Inc. 43285
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
M Holdings Securities Inc. 43285
Street Address 1 Street Address 2
1125 N.W. Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97202
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
NYLIFE Securities LLC 5167
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Wachovia Insurance Services, Inc. 35419
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Wachovia Insurance Services, Inc. 35419
Street Address 1 Street Address 2
227 W. Trade Street Suite 1550
City State/Province/Country ZIP/Postal Code
Charlotte NORTH CAROLINA 28202
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
GA Financial, Inc. 42293
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
GA Financial, Inc. 42293
Street Address 1 Street Address 2
41 S. High Street Suite 3400
City State/Province/Country ZIP/Postal Code
Columbus OHIO 43215
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
MINNESOTA
ILLINOIS
INDIANA
FLORIDA
KANSAS
ALASKA
WASHINGTON
NEW YORK
VIRGINIA
COLORADO
SOUTH CAROLINA
PENNSYLVANIA
MASSACHUSETTS
NORTH CAROLINA
ARIZONA
OHIO
GEORGIA
MICHIGAN
NEW JERSEY
CALIFORNIA
WEST VIRGINIA
Recipient
Recipient CRD Number X None
NYLINK Insurance Agency Incorporated None
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
NYLIFE Securities, LLC 5167
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Royal Alliance Associates 23131
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Royal alliance Associates 23131
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
American Portfolios Financial Services 18487
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway 4th Floor East
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
New Investors World, Inc. 109356
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
New Investors World, Inc. 109356
Street Address 1 Street Address 2
6210 Campbell Road Suite 128
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75248
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
TEXAS
Recipient
Recipient CRD Number None
NFP Securities, Inc. 42046
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
5707 Southwest Parkway Building 2, Suite 400
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78375
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Stern Capital LLC 131226
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Stern Capital LLC 131226
Street Address 1 Street Address 2
420 Lexington Avenue Suite 300
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10170
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CONNECTICUT
DELAWARE
SOUTH DAKOTA
WYOMING
MASSACHUSETTS
FLORIDA
RHODE ISLAND
ALASKA
NEW YORK
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number None
First Montauk Securities Corp. 13755
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
First Montauk Securities Corp. 13755
Street Address 1 Street Address 2
328 NewmanSprings Road
City State/Province/Country ZIP/Postal Code
Red Bank NEW JERSEY 07701
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
LOUISIANA
NEW JERSEY
Recipient
Recipient CRD Number None
MAG Financial Inc. 36327
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
MAG Financial Inc. 36327
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
PENNSYLVANIA
LOUISIANA
FLORIDA
MARYLAND
ALASKA
VIRGINIA
COLORADO
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number None
Manor House Capital, LLC 140863
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Manor House Capital, LLC 140863
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
DELAWARE
ILLINOIS
TEXAS
FLORIDA
NEVADA
ALASKA
NEW YORK
COLORADO
CONNECTICUT
PENNSYLVANIA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
UTAH
Recipient
Recipient CRD Number None
Lincoln Financial Advisors Corp. 3978
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Lincoln Financial Advisors Corp. 3978
Street Address 1 Street Address 2
1301 South Harrison Street
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
MML Investors Services, Inc. 10409
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
MML Investors Services, Inc. 10409
Street Address 1 Street Address 2
1295 State Street
City State/Province/Country ZIP/Postal Code
Springfield MASSACHUSETTS 01111
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Deutsche Bank Securities Inc. 2525
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Deutsche Bank Securities Inc. 2525
Street Address 1 Street Address 2
1 Columbus Circle
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10019
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Ross Securities Corporation 113796
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Ross Securities Corporation 113796
Street Address 1 Street Address 2
1270 Avenue of the Americas 20th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10020
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CONNECTICUT
PENNSYLVANIA
SOUTH DAKOTA
FLORIDA
ALASKA
NEW YORK
NEW JERSEY
Recipient
Recipient CRD Number None
Park Avenue Securities LLC 46173
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Park Avenue Securities LLC 46173
Street Address 1 Street Address 2
10 Hudson Yards
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10001
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Wealth Preservation Associates LLC 35277
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Wealth Preservation Associates LLC 35277
Street Address 1 Street Address 2
521 Fifth Avenue 17th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10175
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
First Liberties Financial 14432
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
First Liberties Financial 14432
Street Address 1 Street Address 2
15,150 Suite 300
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75248
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
DELAWARE
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
OHIO
GEORGIA
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MONTANA
ALASKA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW JERSEY
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number None
Oglivie Security Advisors Corporation 10105
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Oglivie Security Advisors Corporation 10105
Street Address 1 Street Address 2
71 S Wacker Suite 3025
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
World Equity Group, Inc. 29087
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
World Equity Group, Inc. 29087
Street Address 1 Street Address 2
425 N Martingale Road Suite 1220
City State/Province/Country ZIP/Postal Code
Schaumburg ILLINOIS 60173
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
LPL Financial LLC 6413
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
LPL Financial LLC 6413
Street Address 1 Street Address 2
1055 LPL Way
City State/Province/Country ZIP/Postal Code
Fort Mill SOUTH CAROLINA 29715
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number None
Lion Street Financial 165828
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Lion Street Financial 165828
Street Address 1 Street Address 2
515 Congress Avenue Suite 2500
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701-3509
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $136,299,569 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
120

15. Sales Commissions & Finder's Fees Expenses

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

Sales Commissions $9,337,339 USD
Estimate
Finders' Fees $0 USD
Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
Estimate

Clarification of Response (if Necessary):

Signature and Submission

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

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

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

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

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

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

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

New York Life Insurance and Annuity Corp. published this content on March 11, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on March 11, 2026 at 16:26 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]