13F-HR filed by New York Life Investment Management LLC
New York Life Investment Management LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-18, with 155 holding rows worth $325,505,000 by the sum of the rows.
- Accession
- 0001133639-14-000006
- Filer
- CIK 1133639
- Filed
- 2014-02-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 151 entries on the cover page, a total value of $400,534,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $325,505,000 with VALUE read as thousands by filing date, 13F file number 028-06325. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $400,534,000, 23% more than the sum of the rows, $325,505,000. This page uses the sum of the rows.
Other managers
- reports for this filerDIMENSIONAL FUND ADVISORS LP028-01186
- reports for this filerDUPONT CAPITAL MANAGEMENT Corp028-05977
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerEpoch Investment Partners, Inc.028-10968
- reports for this filerINSTITUTIONAL CAPITAL LLC028-00016
- reports for this filerJANUS CAPITAL MANAGEMENT LLC028-01343
- reports for this filerCORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC.028-13283
- reports for this filerMarketfield Asset Management LLC028-15275
- reports for this filerMARKSTON INTERNATIONAL LLC028-04869
- reports for this filerMACKAY SHIELDS LLC028-00046
- reports for this filerMASSACHUSETTS FINANCIAL SERVICES CO /MA/028-04968
- reports for this filerPACIFIC INVESTMENT MANAGEMENT CO LLC028-10952
- reports for this filerPRICE T ROWE ASSOCIATES INC /MD/028-00115
- reports for this filerVAN ECK ASSOCIATES CORP028-02783
- reports for this filerWinslow Capital Management, LLC028-03676
- reports for this filerCORNERSTONE CAPITAL MANAGEMENT LLC028-05923
- included managerCORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC.028-13283
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 231,033 | $24,767,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 306,083 | $24,756,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 175,149 | $17,885,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 819,416 | $15,831,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 193,752 | $14,363,000 | thousands by filing date | |
| VTI | 922908769 | COM | 138,606 | $12,149,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 160,687 | $10,252,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 86,150 | $9,166,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 99,238 | $9,088,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 316,194 | $7,804,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 66,026 | $7,433,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 43,351 | $7,283,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 61,445 | $6,632,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 72,480 | $6,490,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 216,471 | $6,327,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 82,842 | $6,254,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 50,964 | $6,183,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 153,633 | $6,122,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 92,000 | $6,085,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 60,135 | $6,082,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 64,436 | $6,068,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 301,901 | $6,050,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 52,113 | $5,556,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 228,099 | $5,096,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 62,687 | $4,978,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 103,310 | $4,952,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 43,511 | $4,939,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 58,630 | $4,731,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 146,068 | $4,665,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 78,377 | $3,874,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 93,417 | $3,697,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 100,679 | $3,226,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 156,234 | $3,172,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 56,393 | $2,997,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 103,791 | $2,821,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 23,824 | $2,523,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 30,105 | $2,496,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 50,487 | $2,325,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 88,510 | $2,179,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 30,187 | $1,879,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 100,390 | $1,782,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 89,105 | $1,774,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 25,041 | $1,518,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 23,998 | $1,409,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 22,730 | $1,385,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 32,710 | $1,313,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 25,376 | $1,284,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 30,980 | $1,273,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 30,568 | $1,260,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 33,777 | $1,064,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 25,352 | $1,052,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 29,968 | $775,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 24,483 | $733,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 9,112 | $679,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 29,207 | $519,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 5,795 | $468,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 18,860 | $466,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 24,605 | $441,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 10,466 | $421,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 23,800 | $397,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 8,251 | $383,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 16,409 | $247,000 | thousands by filing date | |
| ACTAVIS INC | 00507K103 | COM | 1,700 | $245,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 7,045 | $232,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 5,300 | $231,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 3,700 | $231,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,800 | $231,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 2,000 | $231,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 2,700 | $230,000 | thousands by filing date | |
| FAMILY DLR STORES INC | 307000109 | COM | 3,200 | $230,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 4,500 | $229,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,600 | $228,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,300 | $228,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 3,700 | $226,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 4,000 | $226,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,800 | $225,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,100 | $224,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,300 | $224,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 5,300 | $223,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 2,500 | $223,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,400 | $222,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 5,200 | $222,000 | thousands by filing date | |
| PERRIGO CO PLC F | 714290103 | COM | 1,800 | $222,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 5,500 | $221,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 2,200 | $220,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 7,400 | $220,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 15,300 | $220,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 1,100 | $219,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 1,900 | $219,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,400 | $219,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 1,200 | $218,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 2,100 | $218,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 2,500 | $217,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 5,600 | $214,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 2,600 | $212,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 2,900 | $212,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 4,400 | $211,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 3,800 | $210,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,000 | $210,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,300 | $209,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 3,700 | $208,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 4,100 | $206,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 3,100 | $205,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 3,200 | $205,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 6,400 | $204,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 3,100 | $201,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 7,200 | $201,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,400 | $200,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 4,600 | $199,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 4,800 | $198,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,200 | $196,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 11,800 | $195,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 4,200 | $193,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,600 | $192,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 8,149 | $192,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,300 | $191,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,500 | $181,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 3,700 | $180,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,400 | $179,000 | thousands by filing date | |
| 38259p508 | COM | 200 | $175,000 | thousands by filing date | ||
| EXXON MOBIL CORP | 30231G102 | COM | 2,000 | $172,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 5,200 | $172,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 2,200 | $166,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 2,300 | $166,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 4,400 | $161,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 3,400 | $159,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,500 | $154,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 3,700 | $151,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 3,500 | $150,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,500 | $144,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,400 | $131,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 7,584 | $130,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 5,100 | $126,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 800 | $119,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,700 | $114,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 2,200 | $114,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1,300 | $110,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,600 | $108,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,200 | $99,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 900 | $96,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,100 | $95,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 700 | $78,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 600 | $76,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 800 | $61,000 | thousands by filing date | |
| AIRGAS INC | 009363102 | COM | 500 | $53,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 1,900 | $52,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 900 | $42,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 500 | $29,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 1,500 | $28,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 900 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 738 | $23,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 200 | $12,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 500 | $8,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 200 | $7,000 | thousands by filing date | |
| CAREFUSION CORP | 14170T101 | COM | 100 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001133639-14-000006 | this filing | 2014-02-18 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001133639-14-000008 | base | 2014-02-18 | acceptance time not in the bulk data set |