Estatísticas Básicas
| LEI | 549300M3WRI6CMX2WP65 |
| CIK | 787441 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Mainstay Funds - MainStay Winslow Large Cap Growth Fund USD Cls A
SEC Filings (Chronological Order)
Esta página fornece uma lista completa e cronológica de Arquivamentos da SEC, excluindo os arquivamentos de propriedade que fornecemos em outro lugar.
| October 17, 2025 |
NEW YORK LIFE INVESTMENTS FUNDS SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 NEW YORK LIFE INVESTMENTS FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): ☒ No fee required. |
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| October 7, 2025 |
N-MFP3 0000787441 XXXXXXXX 2025-09-30 NEW YORK LIFE INVESTMENTS FUNDS 0000787441 549300PAI7XEJSNBJ671 NYLI Money Market Fund 5493000843752EBAT481 S000006897 5 N N 033-02610 New York Life Investment Management LLC 801-57396 NYL Investors LLC 801-78759 KPMG LLP Philadelphia PA New York Life Investment Management LLC NYLIM Service Company LLC 0001103598 084-05844 N N N Prime Y 19 24 362495384. |
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| September 19, 2025 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 19, 2025 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 19, 2025 FILE NO. |
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| September 19, 2025 |
BY-LAWS OF NEW YORK LIFE INVESTMENTS FUNDS Dated December 31, 1994 Amended and Restated June 24, 2020 Amended and Restated August 28, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 ARTICLE II OFFICES 1 Section 1. |
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| September 19, 2025 |
New York Life Investments Code of Ethics December 2024 New York Life Investments Code of Ethics December 2024 SECTION 1 GENERAL FIDUCIARY PRINCIPLES As fiduciaries to our clients’ assets, New York Life Investments1 and its employees have a duty to act in good faith and in the best interest of its clients. |
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| September 19, 2025 |
Exhibit (m)(8) PLAN OF DISTRIBUTION PURSUANT TO RULE 12b-1 FOR CLASS C2 SHARES OF MAINSTAY FUNDS TRUST THE MAINSTAY FUNDS WHEREAS, MainStay Funds Trust and The MainStay Funds (each, a “Trust”) each engage in business as an open-end management investment company and is registered as such under the Investment Company Act of 1940, as amended (the “Act”); WHEREAS, shares of beneficial interest of each |
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| September 19, 2025 |
THE MAINSTAY FUNDS AMENDED AND RESTATED SUBADVISORY AGREEMENT THE MAINSTAY FUNDS AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amended and Restated Subadvisory Agreement is effective as of the 1st day of July, 2022 (the “Agreement”), between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and Candriam, a partnership limited by shares organized under the laws of Luxembourg (the “Subadvisor” or “Candriam”). |
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| September 19, 2025 |
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of August 28, 2025, between New York Life Investments Funds and New York Life Investments Funds Trust (each a “Trust” and collectively, the “Trusts”), on behalf of each series of the Trusts as set forth on Schedule A (each a “Fund” and collectively, “Funds”), and New York Life Investment Management LLC (the “Manager”) (“Agreement”). |
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| September 19, 2025 |
NEW YORK LIFE INVESTMENTS FUNDS DECLARATION OF TRUST DATED JANUARY 9, 1986 AS AMENDED AND RESTATED AUGUST 30, 1991 AS AMENDED AND RESTATED DECEMBER 31, 1994 AS AMENDED AND RESTATED June 4, 2015 AS AMENDED AND RESTATED August 19, 2016 AS AMENDED AND RESTATED August 28, 2024 ARTICLE I. |
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| September 19, 2025 |
October 2024 CANDRIAMO A NEW YORK LIFE INVESTMENTS COMPANY Code of Ethics Candriam October 2024 CANDRIAMO A NEW YORK LIFE INVESTMENTS COMPANY Code of Ethics Candriam Code of Ethics Status: FINAL Document Type: Policy Version: V 3 Issuing Date: 07/06/2015 General Information Process Owner: Compl Responsible (Policy owner) Business Unit Contact / Backup Department Head of Conduct & Compliance Advisory Compliance Other Contributor(s) Department(s) Senior Compliance Officer [Complin |
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| September 19, 2025 |
AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 1st day of July, 2025, by and among New York Life Investments Funds, a Massachusetts business trust, and New York Life Investments VP Funds Trust and New York Life Investments Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”), and NYLIM Service Company LLC (“NSC”), a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302. |
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| September 19, 2025 |
Epoch Investment Partners, Inc. Code of Ethics and Business Conduct OCTOBER 2024 Epoch Investment Partners, Inc. Code of Ethics and Business Conduct OCTOBER 2024 TD Epoch Code of Ethics and Business Conduct – October 2024 Table of Contents 1. Statement of General Principles 4 2. Definition of Terms Used 5 3. Compliance with Laws, Rules and Regulations 6 Retaliation Prohibited 7 4. Compliance with Disclosure Controls and Dealing with External Auditors 7 5. Conflicts o |
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| September 8, 2025 |
N-MFP3 0000787441 XXXXXXXX 2025-08-31 NEW YORK LIFE INVESTMENTS FUNDS 0000787441 549300PAI7XEJSNBJ671 NYLI Money Market Fund 5493000843752EBAT481 S000006897 5 N N 033-02610 New York Life Investment Management LLC 801-57396 NYL Investors LLC 801-78759 KPMG LLP Philadelphia PA New York Life Investment Management LLC NYLIM Service Company LLC 0001103598 084-05844 N N N Prime Y 14 21 376251690. |
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| July 17, 2025 |
NEW YORK LIFE INVESTMENTS FUNDS NEW YORK LIFE INVESTMENTS FUNDS TRUST NEW YORK LIFE INVESTMENTS VP FUNDS TRUST 51 Madison Avenue New York, NY 10010 July 17, 2025 VIA EDGAR Ms. |
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| May 29, 2025 |
NEW YORK LIFE INVESTMENTS FUNDS NEW YORK LIFE INVESTMENTS FUNDS TRUST NEW YORK LIFE INVESTMENTS VP FUNDS TRUST 51 Madison Avenue New York, NY 10010 May 29, 2025 VIA EDGAR Ms. |
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| October 25, 2023 |
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of July 24, 2023, between The MainStay Funds and MainStay Funds Trust (each a “Trust” and together, the “Trusts”), on behalf of each series of the Trusts as currently in existence and any future share classes of such series, any future series of the Trusts (each a “Fund” and collectively, the “Funds”), and New York Life Investment Management LLC (the “Manager”) (“Agreement”). |
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| October 25, 2023 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 28th day of February 2022, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| October 25, 2023 |
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of September 8, 2023, between The MainStay Funds and MainStay Funds Trust (each a “Trust” and collectively, the “Trusts”), on behalf of each series of the Trusts as set forth on Schedule A (each a “Fund” and collectively, “Funds”), and New York Life Investment Management LLC (the “Manager”) (“Agreement”). |
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| October 25, 2023 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 8th day of September 2023, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| October 25, 2023 |
AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 24th day of July, 2023, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (“NSC”). |
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| October 25, 2023 |
POWER OF ATTORNEY KNOWN ALL PERSONS BY THESE PRESENTS, that the undersigned constitutes and appoints each of J. |
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| October 25, 2023 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO THE SUBADVISORY AGREEMENT This Amendment to the Subadvisory Agreement, is made as of the 26th day of April, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and Epoch Investment Partners, Inc. |
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| October 25, 2023 |
AMENDMENT TO GLOBAL CUSTODY AGREEMENT AMENDMENT TO GLOBAL CUSTODY AGREEMENT This Amendment is made on March 30, 2023, to the Global Custody Agreement dated June 22, 2020, as amended from time to time (the Agreement”), between JPMorgan Chase Bank, National Association J. |
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| October 25, 2023 |
AMENDMENT TO GLOBAL CUSTODY AGREEMENT AMENDMENT TO GLOBAL CUSTODY AGREEMENT This Amendment is made on May 16, 2023, to the Global Custody Agreement dated June 22, 2020, as amended from time to time (the Agreement”), between JPMorgan Chase Bank, National Association J. |
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| October 25, 2023 |
MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDED AND RESTATED SUBADVISORY AGREEMENT MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amended and Restated Subadvisory Agreement is effective as of the 1st day of July, 2022 (the “Agreement”), between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and Candriam, a partnership limited by shares organized under the laws of Luxembourg (the “Subadvisor”). |
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| October 25, 2023 |
AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 28th day of August, 2023, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (“NSC”). |
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| October 25, 2023 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 25, 2023 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 25, 2023 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 164 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 167 THE MAINSTAY FUNDS (exact name o |
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| October 25, 2023 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO THE SUBADVISORY AGREEMENT This Amendment to the Subadvisory Agreement, is made as of the 1st day of May, 2023, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and Wellington Management Company LLP, a Delaware limited liability partnership (the “Subadvisor”). |
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| October 25, 2023 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 28th day of August 2023, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| October 25, 2023 |
THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 8th day of September, 2023, between The MainStay Funds, a Massachusetts business trust (the “Trust”), on behalf of its series as set forth on Schedule A (each, a “Fund,” and collectively, the “Funds”) and New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”). |
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| March 27, 2023 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON March 27, 2023 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON March 27, 2023 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A 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 |
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| March 27, 2023 |
Code of Ethics of Nuveen Investments Inc. dated July 2022 – Filed herewith Nuveen Compliance | 18 July 2022 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. |
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| March 27, 2023 |
Code of Ethics of Wellington Management Company LLC dated September 2022 – Filed herewith The reputation of a thousand years may be determined by the conduct of one hour. – Ancient proverb A message from our CEO Jean M. Hynes 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 |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90. |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90. |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90. |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90. |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90. |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| September 28, 2022 |
MainStay Candriam Emerging Markets Debt Fund NPORT-EX 2 MSF1031.htm MSF 1031 MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 90.4% Corporate Bonds 5.0% Brazil 0.8% Braskem Netherlands Finance BV Series Reg S 4.50%, due 1/31/30 (a) $ 600,000 $ 547,500 Georgia 0.9% Georgian Railway JSC Series Reg S 4.00%, d |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 31, 2022 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2022† (Unaudited) Principal Amount Value Long-Term Bonds 83. |
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| March 7, 2022 |
EX-99.P CODE ETH 13 ex99pcodeeth-2.htm Exhibit (p)(4) nuveen A TIAA Company 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 |
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| March 7, 2022 |
Exhibit (d)(2)(a)(xviii) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 30th day of November, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and MacKay Shields LLC, a Delaware limited liability company (the ?Subadvisor?). |
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| March 7, 2022 |
Exhibit (h)(7)(i) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of February 28, 2022, between The MainStay Funds and MainStay Funds Trust (each a ?Trust? and collectively, the ?Trusts?), on behalf of each series of the Trusts as set forth on Schedule A (each a ?Fund? and collectively, ?Funds?), and New York Life Investment Management LLC (the ?Manager?) (?Agreement?). |
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| March 7, 2022 |
Exhibit (d)(1)(j) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 28th day of February, 2022, between The MainStay Funds, a Massachusetts business trust (the ?Trust?), on behalf of its series as set forth on Schedule A (each, a ?Fund,? and collectively, the ?Funds?) and New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?). |
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| March 7, 2022 |
Exhibit (a)(40) THE MAINSTAY FUNDS Establishment and Designation of Class of Shares of Beneficial Interest, Par Value $0. |
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| March 7, 2022 |
Exhibit (h)(1)(xxxv) AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (?Amendment?) is effective as of the 28th day of February, 2022, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a ?Fund? and collectively, the ?Funds?) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (?NSC?). |
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| March 7, 2022 |
Exhibit (h)(7)(i) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of November 30, 2021, between The MainStay Funds and MainStay Funds Trust (each a ?Trust? and collectively, the ?Trusts?), on behalf of each series of the Trusts as set forth on Schedule A (each a ?Fund? and collectively, ?Funds?), and New York Life Investment Management LLC (the ?Manager?) (?Agreement?). |
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| March 7, 2022 |
Exhibit (h)(7)(i) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of December 13, 2021, between The MainStay Funds and MainStay Funds Trust (each a ?Trust? and collectively, the ?Trusts?), on behalf of each series of the Trusts as set forth on Schedule A (each a ?Fund? and collectively, ?Funds?), and New York Life Investment Management LLC (the ?Manager?) (?Agreement?). |
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| March 7, 2022 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 4, 2022 POS EX 1 posex.htm AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 4, 2022 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 161 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 164 THE MAINSTAY FUN |
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| March 7, 2022 |
Code of Ethics of Epoch Investment Partners, Inc. dated October 2021 – Filed herewith Exhibit (p)(5) Epoch Investment Partners, Inc. Code of Ethics and Business Conduct October 2021 Table of Contents Retaliation Prohibite d 5 What is confidential information about Epoch ? 8 What is non-public information ? 8 What is material information ? 8 How might I receive information about Epoch that is non-public and confidential ? 9 How might I receive information that is non-public and mate |
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| March 7, 2022 |
Exhibit (h)(1)(xxxv) AMENDED AND RESTATED MULTIPLE CLASS PLAN PURSUANT TO RULE 18f-3 MAINSTAY FUNDS TRUST THE MAINSTAY FUNDS WHEREAS, MainStay Funds Trust and The MainStay Funds (each, a ?Trust?), on behalf of the separate series of each Trust, each engage in business as an open-end management investment company and is registered as such under the Investment Company Act of 1940, as amended (the ?A |
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| March 7, 2022 |
Code of Ethics of Candriam Belgium/France/Luxembourg dated November 2021 – Filed herewith Exhibit (p)(3) CODE OF ETHICS CANDRIAM Drafted by Compliance Department Date approved by Corporate Compliance Committee 19/03/2021 Date approved by Board of Management Candriam Belgium - 23/03/2021 Candriam Luxembourg ? 23/04/2021 Candriam France ? 25/05/2021 Scope All Candriam employees Creation date 7 June 2015 Last updated 11/03/2021 Contents Error! No table of contents entries found. |
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| March 7, 2022 |
Exhibit (d)(2)(a)(xix) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 28th day of February 2022, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and MacKay Shields LLC, a Delaware limited liability company (the ?Subadvisor?). |
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| March 7, 2022 |
Exhibit (h)(1)(xxxv) FORM OF FUND OF FUNDS INVESTMENT AGREEMENT THIS FUND OF FUNDS INVESTMENT AGREEMENT (the ?Agreement?), dated as of January , 2022 (the ?Effective Date?), is made by and between each investment company (each, an ?Acquiring Registrant?), for itself, and on behalf of each of its portfolio series listed on Schedule A (the ?Acquiring Funds?), and each investment company (each, an ?Acquired Registrant?), for itself, and on behalf of each of its portfolio series listed on Schedule B (the ?Acquired Funds?), each severally and not jointly. |
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| February 22, 2022 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 VIA EDGAR CORRESPONDENCE February 22, 2022 Mr. |
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| February 18, 2022 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 VIA EDGAR CORRESPONDENCE February 18, 2022 Mr. |
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| February 14, 2022 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 MADISON AVENUE NEW YORK, NEW YORK 10010 VIA EDGAR CORRESPONDENCE February 14, 2022 Mr. |
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| January 11, 2022 |
THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 January 10, 2022 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| November 4, 2021 |
EX-99.P CODE ETH 18 ex99pcodeeth-1.htm REGISTRANT'S COE 9-21 Exhibit (p)(1) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST MAINSTAY MACKAY DEFINEDTERM MUNICIPAL OPPORTUNITIES FUND MAINSTAY CBRE GLOBAL INFRASTRUCTURE MEGATRENDS FUND CODE OF ETHICS September 2021 TABLE OF CONTENTS SECTION PAGE I. INTRODUCTION 1 II. POLICY 2 III. REPORTING REQUIREMENTS 3 IV. RECORDKEEPING 6 EXHIBITS |
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| November 4, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 4, 2021 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 4, 2021 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 156 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 159 THE MAINSTAY FUNDS (exact name o |
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| November 4, 2021 |
Exhibit (d)(1)(i) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 26th day of April, 2021, between The MainStay Funds, a Massachusetts business trust (the ?Trust?), on behalf of its series as set forth on Schedule A (each, a ?Fund,? and collectively, the ?Funds?) and New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?). |
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| November 4, 2021 |
EX-99.H OTH MAT CONT 11 ex99hothmatcont-1.htm TA AMENDMENT 9-30-21 Exhibit (h)(1)(a)(xxxiii) AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 30th day of September, 2021, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds T |
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| November 4, 2021 |
EX-99.G CUST AGREEMT 9 ex99gcustagreemt-1.htm CUSTODIAN AMENDMENT 5-1-21 Exhibit (g)(1)(a) AMENDMENT NO. 1 TO GLOBAL CUSTODY AGREEMENT This Amendment is made on May 1, 2021, to the Global Custody Agreement dated June 22, 2020, as amended from time to time (the Agreement”), between JPMorgan Chase Bank, National Association J.P. Morgan and each of the investment companies listed on Annex B to the Ag |
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| November 4, 2021 |
Exhibit (d)(a)(xv) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 26th day of April, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| November 4, 2021 |
EX-99.H OTH MAT CONT 17 ex99hothmatcont-7.htm ELA 9-30-21 Exhibit (h)(7)(h) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of September 30, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "F |
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| November 4, 2021 |
EX-99.H OTH MAT CONT 15 ex99hothmatcont-5.htm ELA 7-1-21 Exhibit (h)(7)(f) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of July 1, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "Fund" an |
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| November 4, 2021 |
Exhibit (d)(2)(a)(xvii) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 28th day of August, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and MacKay Shields LLC, a Delaware limited liability company (the ?Subadvisor?). |
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| November 4, 2021 |
EX-99.H OTH MAT CONT 13 ex99hothmatcont-3.htm ELA 3-19-21 Exhibit (h)(7)(d) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of March 19, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "Fund" |
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| November 4, 2021 |
EX-99.G CUST AGREEMT 10 ex99gcustagreemt-2.htm CUSTODIAN AMENDMENT 9-9-21 Exhibit (g)(1)(b) AMENDMENT NO. 2 TO GLOBAL CUSTODY AGREEMENT This Amendment is made on Sept. 9, 2021, to the Global Custody Agreement dated June 22, 2020, as amended from time to time (the Agreement”), between JPMorgan Chase Bank, National Association J.P. Morgan and each of the investment companies listed on Annex B to the |
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| November 4, 2021 |
Exhibit (d)(2)(a)(xvi) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 1st day of May, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and MacKay Shields LLC, a Delaware limited liability company (the ?Subadvisor?). |
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| November 4, 2021 |
EX-99.H OTH MAT CONT 16 ex99hothmatcont-6.htm ELA 8-28-21 Exhibit (h)(7)(g) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of August 28, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "Fund |
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| November 4, 2021 |
Exhibit (d)(1)(h) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 5th day of March, 2021, between The MainStay Funds, a Massachusetts business trust (the “Trust”), on behalf of its series as set forth on Schedule A (each, a “Fund,” and collectively, the “Funds”) and New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”). |
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| November 4, 2021 |
The MainStay Funds Redesignation of Series of Shares of Beneficial Interest, Par Value $0. |
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| November 4, 2021 |
The MainStay Funds Redesignation of Series of Shares of Beneficial Interest, Par Value $0. |
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| November 4, 2021 |
Exhibit (h)(7)(e) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of April 26, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "Fund" and collectively, "Funds"), and New York Life Investment Management LLC (the "Manager") ("Agreement"). |
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| November 4, 2021 |
Exhibit (h)(1)(a)(xxxiv) AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 26th day of October, 2021, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (“NSC”). |
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| November 4, 2021 |
Exhibit (p)(2) New York Life Investment Management Holdings LLC Code of Ethics August 2021 SECTION 1 GENERAL FIDUCIARY PRINCIPLES AND STANDARDS OF BUSINESS CONDUCT This Code of Ethics (?Code?) has been adopted by New York Life Investment Management Holdings LLC? (?NYLIM Holdings?) and certain of its subsidiaries and affiliates (collectively, ?New York Life Investments? or the ?Company?)1 and is designed to comply with Rule 17j-1 under the Investment Company Act of 1940 (?Investment Company Act?) and with Rule 204A-1 under the Investment Advisers Act of 1940 (?Advisers Act?). |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| September 24, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| May 17, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 17, 2021 POS EX 1 posex.htm AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 17, 2021 SECURITIES ACT FILE NO. 333-252771 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 2 THE MAINSTAY FUNDS (exact name of registrant as specified in charter) 51 MAD |
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| May 17, 2021 |
EX-99.12 TAX OPINION 3 ex9912taxopinion-1.htm Exhibit 12 April 26, 2021 Board of Trustees MainStay Epoch U.S. All Cap Fund MainStay Funds Trust 51 Madison Avenue New York, New York 10010 Board of Trustees MainStay WMC Enduring Capital Fund The MainStay Funds 51 Madison Avenue New York, New York 10010 Dear Ladies and Gentlemen: You have requested our opinion regarding certain federal income tax con |
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| May 17, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 17, 2021 POS EX 1 posex.htm AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 17, 2021 SECURITIES ACT FILE NO. 333-252772 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 2 THE MAINSTAY FUNDS (exact name of registrant as specified in charter) 51 MAD |
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| May 17, 2021 |
EX-99.4 ACQ AGREEMNT 2 ex994acqagreemnt-1.htm Exhibit 4 AGREEMENT AND PLAN OF REORGANIZATION MAINSTAY MACKAY U.S. EQUITY OPPORTUNITIES FUND MAINSTAY WMC ENDURING CAPITAL FUND The Board of Trustees of MainStay Funds Trust, a Delaware statutory trust, and The MainStay Funds, a Massachusetts business trust (the “Board”), deems it advisable that MainStay WMC Enduring Capital Fund (the “Acquiring Fund” |
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| May 17, 2021 |
Exhibit 4 AGREEMENT AND PLAN OF REORGANIZATION MAINSTAY EPOCH U.S. ALL CAP FUND MAINSTAY WMC ENDURING CAPITAL FUND The Board of Trustees of MainStay Funds Trust, a Delaware statutory trust, and The MainStay Funds, a Massachusetts business trust (the ?Board?), deems it advisable that MainStay WMC Enduring Capital Fund (the ?Acquiring Fund?) and MainStay Epoch U.S. All Cap Fund (the ?Acquired Fund?) |
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| May 17, 2021 |
Exhibit 12 April 26, 2021 Board of Trustees MainStay MacKay U.S. Equity Opportunities Fund MainStay Funds Trust 51 Madison Avenue New York, New York 10010 Board of Trustees MainStay WMC Enduring Capital Fund The MainStay Funds 51 Madison Avenue New York, New York 10010 Dear Ladies and Gentlemen: You have requested our opinion regarding certain federal income tax consequences to MainStay MacKay U.S |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 30, 2021 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2021† (Unaudited) Principal Amount Value Long-Term Bonds 93. |
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| March 23, 2021 |
EX-99.D ADVSR CONTR 4 ex99dadvsrcontr-3.htm MACKAY AMENDMENT 3-5-21 Exhibit (d)(2)(a)(xiv) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 5th day of March, 2021, between New York Life Investment Management LLC, a Delaware limited liability com |
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| March 23, 2021 |
POS EX 1 posex.htm AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 22, 2021 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 155 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 158 THE MAINSTAY FU |
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| March 23, 2021 |
Code of Ethics of New York Life Investment Management Holdings LLC dated June 2020 – Filed herewith EX-99.P CODE ETH 10 ex99pcodeeth-1.htm NYLIM HOLDINGS COE Exhibit (p)(4) New York Life Investment Management Holdings LLC Code of Ethics June 2020 SECTION 1 GENERAL FIDUCIARY PRINCIPLES AND STANDARDS OF BUSINESS CONDUCT This Code of Ethics (“Code”) has been adopted by New York Life Investment Management Holdings LLC’ (“NYLIM Holdings”) and certain of its divisions, subsidiaries and affiliates (col |
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| March 23, 2021 |
EX-99.G CUST AGREEMT 6 ex99gcustagreemt-1.htm JPMORGAN CUSTODIAN AGMT Exhibit (g)(3) 1. INTENTION OF THE PARTIES; DEFINITIONS 4 1.1 INTENTION OF THEPARTIES 4 1.2 DEFINITIONS;INTERPRETATION 4 2. WHAT J.P. MORGAN IS REQUIRED TO DO 7 2.1 SET UP ACCOUNTS 7 2.2 DEPOSIT OF CASH 8 2.3 SEGREGATION AND REGISTRATION OF ASSETS; NOMINEE NAME 9 2.4 SETTLEMENT OF TRANSACTIONS 9 2.5 CONTRACTUAL SETTLEMENT DATE A |
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| March 23, 2021 |
EX-99.P CODE ETH 11 ex99pcodeeth-2.htm NUVEEN (WINSLOW) COE (p)(5) Nuveen Compliance | 13 August 2020 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 |
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| March 23, 2021 |
Amended and Restated Expense Limitation Agreement dated March 5, 2021 – Filed herewith Exhibit (h)(7)(c) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of March 5, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and collectively, the "Trusts"), on behalf of each series of the Trusts as set forth on Schedule A (each a "Fund" and collectively, "Funds"), and New York Life Investment Management LLC (the "Manager") ("Agreement"). |
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| March 23, 2021 |
Exhibit (d)(2)(g) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST SUBADVISORY AGREEMENT This Subadvisory Agreement, is effective as of the 5th day of March, 2021 (the ?Agreement?), between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and Wellington Management Company LLP, a Delaware limited liability partnership (the ?Subadvisor?). |
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| March 23, 2021 |
EX-99.P CODE ETH 12 ex99pcodeeth-3.htm EPOCH COE (p)(6) Epoch Investment Partners, Inc. Code of Ethics and Business Conduct October 2020 Table of Contents Retaliation Prohibite d 5 What is confidential information about Epoch ? 8 What is non-public information ? 8 What is material information ? 8 How might I receive information about Epoch that is non-public and confidential ? 9 How might I receiv |
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| March 23, 2021 |
Exhibit (h)(7)(b) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of March 19, 2021, between The MainStay Funds and MainStay Funds Trust (each a "Trust" and together, the "Trusts"), on behalf of each series of the Trusts as currently in existence and any future share classes of such series, any future series of the Trusts (each a "Fund" and collectively, the "Funds"), and New York Life Investment Management LLC (the "Manager") ("Agreement"). |
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| March 23, 2021 |
Exhibit (d)(2)(a)(xiii) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 28th day of February, 2021, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and MacKay Shields LLC, a Delaware limited liability company (the ?Subadvisor?). |
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| March 23, 2021 |
EX-99.P CODE ETH 13 ex99pcodeeth-4.htm WELLINGTON COE Exhibit (p)(7) WELLINGTON MANAGEMENT® Code of Ethics Personal investing Gifts and entertainment Outside activities Client confidentiality 1 June 2020 The reputation of a thousand years may be determined by the conduct of one hour. – Ancient proverb A message from our CEO Brendan J. Swords Chairman and Chief Executive Officer Our business is bui |
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| March 23, 2021 |
Exhibit (h)(7)(d) NOTICE OF VOLUNTARY EXPENSE LIMITATION THIS NOTICE OF VOLUNTARY EXPENSE LIMITATION is provided as of March 5, 2021 to MainStay Funds Trust and The MainStay Funds (each, a "Trust"), on behalf of each series of the Trust as set forth on Schedule A (the "Funds"), by New York Life Investment Management LLC (the "Manager"). |
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| March 23, 2021 |
Amendment dated March 5, 2021 – Filed herewith Exhibit (d)(1)(h) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 5th day of March, 2021, between The MainStay Funds, a Massachusetts business trust (the “Trust”), on behalf of its series as set forth on Schedule A (each, a “Fund,” and collectively, the “Funds”) and New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”). |
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| March 19, 2021 |
THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE March 19, 2021 Mr. |
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| February 5, 2021 |
Exhibit 16 POWER OF ATTORNEY KNOWN ALL PERSONS BY THESE PRESENTS, that the undersigned constitutes and appoints each of J. |
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| February 5, 2021 |
Consent of Independent Registered Public Accounting Firm – Filed herewith Exhibit 14(a) Consent of Independent Registered Public Accounting Firm To the Shareholders of the Funds and Board of Trustees MainStay Funds Trust and The MainStay Funds: We consent to the use of our reports dated December 23, 2020, with respect to the financial statements and financial highlights of MainStay Epoch U. |
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| February 5, 2021 |
Form of Tax Opinion – Filed herewith Exhibit 12 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| February 5, 2021 |
Consent of Independent Registered Public Accounting Firm – Filed herewith Exhibit 99.14(a) Consent of Independent Registered Public Accounting Firm To the Shareholders of the Funds and Board of Trustees MainStay Funds Trust and The MainStay Funds: We consent to the use of our reports dated December 23, 2020, with respect to the financial statements and financial highlights of MainStay MacKay U.S. Equity Opportunities Fund, a series of MainStay Funds Trust, and MainStay |
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| February 5, 2021 |
Exhibit 11 1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com February 5, 2021 Board of Trustees, The MainStay Funds 51 Madison Avenue New York, NY 10010 Re: Registration Statement on Form N-14 (MainStay MacKay Common Stock Fund (to be renamed MainStay WMC Enduring Capital Fund), a series of The MainStay Funds) Ladies and Gentlemen: We have acted |
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| February 5, 2021 |
Exhibit 16 POWER OF ATTORNEY KNOWN ALL PERSONS BY THESE PRESENTS, that the undersigned constitutes and appoints each of J. |
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| February 5, 2021 |
N-14 1 tm214714d2n14.htm N-14 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 5, 2021 SECURITIES ACT FILE NO. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [] THE MAINSTAY FUNDS (exact name of registrant as specified in charter) 5 |
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| February 5, 2021 |
Form of Tax Opinion – Filed herewith EX-99.12 3 tm214714d2ex99-12.htm FORM OF TAX OPINION OF DECHERT LLP Exhibit 12 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com , 2021 Board of Trustees MainStay MacKay U.S. Equity Opportunities Fund MainStay Funds Trust 51 Madison Avenue New York, New York 10010 Board of Trustees MainStay WMC Enduring Capital Fund The M |
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| February 5, 2021 |
DEF 14C 1 tm214709d1def14c.htm DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5 (d)(2)) x Definitive Information Statem |
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| February 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5 (d)(2)) x Definitive Information Statement THE MAINSTAY FUNDS (Name of Registr |
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| February 5, 2021 |
Exhibit 11 February 5, 2021 Board of Trustees, The MainStay Funds 51 Madison Avenue New York, NY 10010 Re: Registration Statement on Form N-14 (MainStay MacKay Common Stock Fund (to be renamed MainStay WMC Enduring Capital Fund), a series of The MainStay Funds) Ladies and Gentlemen: We have acted as counsel for The MainStay Funds (the “Trust”), a business trust duly organized and validly existing |
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| February 5, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 5, 2021 SECURITIES ACT FILE NO. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| September 28, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments July 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 95. |
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| August 25, 2020 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE August 25, 2020 Ms. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| March 26, 2020 |
MainStay Candriam Emerging Markets Debt Fund MainStay Candriam Emerging Markets Debt Fund Portfolio of Investments January 31, 2020 (Unaudited) Principal Amount Value Long-Term Bonds 96. |
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| February 21, 2020 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE February 21, 2020 Mr. |
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| December 18, 2019 |
THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 December 18, 2019 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
|
| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
|
| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| September 27, 2019 |
MainStay Income Builder Fund Portfolio of Investments July 31, 2019 (Unaudited) Principal Amount Value Long-Term Bonds 53. |
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| August 12, 2019 |
MAINSTAY GROUP OF FUNDS 51 Madison Avenue New York, NY 10010 August 12, 2019 VIA EDGAR Ms. |
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| June 21, 2019 |
MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 June 21, 2019 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: MainStay Funds (the ?Registrant?); File Nos. 033-02610; 811-04550 Dear Sir/Madam: On June 21, 2019, we electronically transmitted for filing pursuant to Rule 485(a) under the Securities Act of 1933, as am |
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| May 10, 2019 |
Mainstay Funds DEFA14A DEFA14A SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| May 1, 2019 |
Mainstay Funds DEFA14A DEFA14A SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| April 11, 2019 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
|
| April 9, 2019 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| April 5, 2019 |
THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE April 5, 2019 Mr. |
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| March 25, 2019 |
[EX-99.CERT] CERTIFICATION I, Kirk C. Lehneis, President and Principal Executive Officer of The MainStay Funds, certify that: 1. I have reviewed this report on Form N-Q of The MainStay Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| March 25, 2019 |
Mainstay Funds N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04550 The MainStay Funds (Exact name of registrant as specified in charter) 51 Madison Avenue, New York, New York 10010 (Address of principal executive offices) (Zip Code) J. |
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| March 15, 2019 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
|
| March 15, 2019 |
THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 March 15, 2019 VIA EDGAR Filing Desk Securities and Exchange Commission 100 F Street, N. |
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| February 13, 2019 |
MAINSTAY GROUP OF FUNDS 51 Madison Avenue New York, NY 10010 February 13, 2019 VIA EDGAR Ms. |
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| January 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 811-04550 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [X] Form N-CEN [ ] Form N-CSR For Period Ended: October 31, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Trans |
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| December 14, 2018 |
MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 December 14, 2018 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| October 22, 2018 |
Exhibit (h)(1)(a)(xx) AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 22nd day of May, 2018, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (“NSC”). |
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| October 22, 2018 |
Exhibit (h)(1)(a)(xxi) AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 2nd day of July, 2018, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 30 Hudson Street, Jersey City, New Jersey 07302 (“NSC”). |
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| October 22, 2018 |
Exhibit (d)(2)(a)(ii) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 1st day of May, 2018, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| October 22, 2018 |
Amended and Restated Expense Limitation Agreement dated May 22, 2018 EX-99.(H)(7)(A) 14 tv501810ex99-h7a.htm AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT Exhibit (h)(7)(a) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, is hereby made as of May 22, 2018, between The MainStay Funds and MainStay Funds Trust (each a “Trust” and collectively, the “Trusts”), on behalf of each series of the Trusts as set fort |
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| October 22, 2018 |
Exhibit (d)(2)(a)(iii) THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST AMENDMENT TO AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is made as of the 22nd day of May, 2018, between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”). |
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| October 22, 2018 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 22, 2018 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Post-Effective Amendment No. 141 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 þ Amendment No. 144 THE MAINSTAY FUNDS (exact na |
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| October 22, 2018 |
Exhibit g 1 q MAINSTAY GROUP OF FUNDS May 22, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: Amended and Restated Master Custodian Agreement (the “Agreement”) Ladies and Gentlemen: Please be advised of the following changes to the MainStay Group of Funds. |
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| October 22, 2018 |
Exhibit g 1 s Mainstay VP Funds Trust August 17, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: MainStay VP Funds Trust (the “Fund”) Ladies and Gentlemen: Please be advised that the undersigned Fund has established a new series of shares to be known as the MainStay VP IQ Hedge Multi-Strategy Portfolio effective September 10, 2018. |
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| October 22, 2018 |
Exhibit g 2 q MainStay Funds Trust July 2, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: MainStay Funds Trust (the “Fund”) Ladies and Gentlemen: Please be advised that the undersigned Fund has established a new series of shares to be known as the MainStay U. |
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| October 22, 2018 |
Exhibit g 2 r MAINSTAY VP FUNDS TRUST August 17, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: MainStay VP Funds Trust (the “Fund”) Ladies and Gentlemen: Please be advised that the undersigned Fund has established a new series of shares to be known as the MainStay VP IQ Hedge Multi-Strategy Portfolio effective September 10, 2018. |
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| October 22, 2018 |
Exhibit g 2 o Mainstay Group of Funds February 16, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02110 Attention: MainStay Group of Funds Client Manager Re: Amended and Restated Master Delegation Agreement (the “Agreement”) Ladies and Gentlemen: Please be advised of the following changes to the MainStay Group of Funds. |
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| October 22, 2018 |
Exhibit g 1 r Mainstay Funds Trust July 2, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: MainStay Funds Trust (the “Fund”) Ladies and Gentlemen: Please be advised that the undersigned Fund has established a new series of shares to be known as the MainStay U. |
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| October 22, 2018 |
Exhibit g 2 p MAINSTAY FUNDS TRUST May 22, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02210 Attention: MainStay Group of Funds Client Manager Re: Amended and Restated Master Delegation Agreement (the “Agreement”) Ladies and Gentlemen: Please be advised of the following changes to the MainStay Group of Funds. |
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| October 22, 2018 |
Exhibit g 1 p Mainstay Group of Funds February 16, 2018 State Street Bank and Trust Company 1 Iron Street Boston, MA 02110 Attention: MainStay Group of Funds Client Manager Re: Amended and Restated Master Custodian Agreement (the “Agreement”) Ladies and Gentlemen: Please be advised of the following changes to the MainStay Group of Funds. |
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| September 25, 2018 |
Mainstay Funds N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 tv502539nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04550 The MainStay Funds (Exact name of registrant as specified in charter) 51 Madison Avenue, New York, New York 10010 (Address of principal executive offices) (Zip Code) |
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| September 25, 2018 |
[EX-99.CERT] CERTIFICATION I, Kirk C. Lehneis, President and Principal Executive Officer of The MainStay Funds, certify that: 1. I have reviewed this report on Form N-Q of The MainStay Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| March 29, 2018 |
Mainstay Funds N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04550 The MainStay Funds (Exact name of registrant as specified in charter) 51 Madison Avenue, New York, New York 10010 (Address of principal executive offices) (Zip Code) J. |
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| March 29, 2018 |
[EX-99.CERT] CERTIFICATION I, Kirk C. Lehneis, President and Principal Executive Officer of The MainStay Funds, certify that: 1. I have reviewed this report on Form N-Q of The MainStay Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| February 21, 2018 |
MAINSTAY GROUP OF FUNDS 51 Madison Avenue New York, NY 10010 February 21, 2018 VIA EDGAR Mr. |
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| December 22, 2017 |
MAINSTAY FUNDS TRUST THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 December 21, 2017 MAINSTAY FUNDS TRUST THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 December 21, 2017 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| September 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04550 The MainStay Funds (Exact name of registrant as specified in charter) 51 Madison Avenue, New York, New York 10010 (Address of principal executive offices) (Zip Code) J. |
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| September 28, 2017 |
[EX-99.CERT] CERTIFICATION I, Kirk C. Lehneis, President and Principal Executive Officer of The MainStay Funds, certify that: 1. I have reviewed this report on Form N-Q of The MainStay Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
|
| September 15, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
|
| September 8, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| August 10, 2017 |
Exhibit (a)(35) THE MAINSTAY FUNDS Establishment and Designation of Class of Shares of Beneficial Interest, Par Value $0. |
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| August 10, 2017 |
THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT Exhibit (d)(2)(a)(v) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is effective as of the 27th day of February 2015, between New York Life Investment Management LLC (the ?Manager?) and MacKay Shields LLC (the ?Subadvisor?). |
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| August 10, 2017 |
THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT EX-99.(D)(2)(A)(VI) 6 v472579ex99-d2avi.htm AMENDMENT TO THE SUBADVISORY AGREEMENT Exhibit (d)(2)(a)(vi) THE MAINSTAY FUNDS AMENDMENT TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT This Amendment to the Amended and Restated Subadvisory Agreement, is effective as of the 28th day of February 2017, between New York Life Investment Management LLC (the “Manager”) and MacKay Shields LLC (the “Subadvi |
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| August 10, 2017 |
Exhibit (a)(34) The MainStay Funds MainStay Global High Income Fund MainStay MAP Fund Redesignation of Series of Shares of Beneficial Interest, Par Value $0. |
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| August 10, 2017 |
THE MainSTay Funds AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT Exhibit (d)(1)(a) THE MainSTay Funds AMENDMENT TO THE AMENDED AND RESTATED MANAGEMENT AGREEMENT This Amendment to the Amended and Restated Management Agreement is hereby made as of the 28th day of February, 2017, between The MainStay Funds, a Massachusetts business trust (the ?Trust?), on behalf of its series as set forth on Schedule A (each, a ?Fund,? and collectively, the ?Funds?) and New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?). |
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| August 10, 2017 |
Nuveen Investments Compliance | September 2016 Exhibit (p)(5) Nuveen Investments Compliance? | September 2016 Code of Ethics Summary and Scope What the Code is about Helping to ensure that Nuveen Investments personnel place the interests of Nuveen clients ahead of their own personal interests. |
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| August 10, 2017 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 10, 2017 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 10, 2017 FILE NO. 033-02610 FILE NO. 811-04550 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? Post-Effective Amendment No. 137 AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. 140 THE MAINSTAY FUNDS (exact nam |
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| August 10, 2017 |
Exhibit (d)(2)(h)(i) THE MAINSTAY FUNDS This Amendment to the Subadvisory Agreement, is made as of the 28th day of February, 2017, between New York Life Investment Management LLC, a Delaware limited liability company (the ?Manager?) and NYL Investors LLC, a Delaware corporation (the ?Subadvisor?). |
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| June 30, 2017 |
FORM N-SAR Exhibit 77E THE MAINSTAY FUNDS 811-04550 For Period Ended 4/30/17 On December 23, 2014, Cynthia Ann Redus-Tarchis and others filed a complaint against New York Life Investments in the United States District Court for the District of New Jersey. |
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| June 30, 2017 |
Signature Page The following form of signature shall follow items 79, 85, 88, 104, 110 or 132 as appropriate. |
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| June 30, 2017 |
Form N-SAR Attachment for Item #77C Matters Submitted to a Vote of Security Holders THE MAINSTAY FUNDS 811-04550 For Period Ended 4/30/17 MAINSTAY MAP EQUITY FUND a series of The MainStay Funds (a) The date of the meeting and whether it was an annual or special meeting; Pursuant to notice, a special meeting of shareholders ("Special Meeting") of the MainStay MAP Fund ("Fund") , a series of The MainStay Funds, was held at the offices of New York Life Investment Management, Inc. |
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| March 30, 2017 |
Exhibit 99.CERT CERTIFICATION I, Stephen P. Fisher, President and Principal Executive Officer of The MainStay Funds, certify that: 1. I have reviewed this report on Form N-Q of The MainStay Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under |
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| March 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04550 The MainStay Funds (Exact name of registrant as specified in charter) 51 Madison Avenue, New York, New York 10010 (Address of principal executive offices) (Zip Code) J. |
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| February 28, 2017 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE February 28, 2017 Mr. |
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| February 8, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| February 3, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| January 27, 2017 |
THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST 51 Madison Avenue New York, NY 10010 THE MAINSTAY FUNDS MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE January 27, 2017 Mr. |
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| January 27, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| January 10, 2017 |
MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 MAINSTAY FUNDS TRUST MAINSTAY VP FUNDS TRUST THE MAINSTAY FUNDS 51 Madison Avenue New York, NY 10010 January 10, 2017 VIA EDGAR Filing Desk Securities and Exchange Commission 100 F Street, N. |
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| January 10, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN A PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under Rule 14a-12 THE MAINSTAY FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| December 27, 2016 |
MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE December 27, 2016 Mr. |
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| December 22, 2016 |
THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 THE MAINSTAY FUNDS 51 MADISON AVENUE NEW YORK, NY 10010 December 21, 2016 Via EDGAR Filing Desk Securities and Exchange Commission Office of Filings and Information Services Branch of Registrations and Examinations Mail Stop 0-25 100 F Street, NE Washington, DC 20549 Re: The MainStay Funds (“Registrant”) File Nos. |
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| December 21, 2016 |
MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 MAINSTAY FUNDS MAINSTAY FUNDS TRUST 51 Madison Avenue New York, NY 10010 VIA EDGAR CORRESPONDENCE December 21, 2016 Mr. |
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| December 21, 2016 |
Consent of Independent Registered Public Accounting Firm Exhibit j.1 Consent of Independent Registered Public Accounting Firm The Board of Trustees of The MainStay Funds and MainStay Funds Trust: We consent to the use of our reports dated December 23, 2015, with respect to the financial statements of the MainStay High Yield Corporate Bond Fund (a series of The MainStay Funds) and the MainStay High Yield Opportunities Fund (a series of MainStay Funds Tru |
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| December 21, 2016 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 21, 2016 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 21, 2016 SECURITIES ACT FILE NO. |
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| December 21, 2016 |
Exhibit i.1 1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com December 21, 2016 Board of Trustees, The MainStay Funds 51 Madison Avenue New York, NY 10010 Re: Registration Statement on Form N-14 (MainStay High Yield Corporate Bond Fund, a series of The MainStay Funds) Ladies and Gentlemen: We have acted as counsel for The MainStay Funds (the ?Tr |
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| November 23, 2016 |
November 23, 2016 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Patrick F. Scott Re: Delaying Amendment for The MainStay Funds on behalf of MainStay High Yield Corporate Bond Fund Registration Statement on Form N-14 (File No. 333-214498) Ladies and Gentlemen: Pursuant to Rule 473 under the Securities Act of 1933, as |
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| November 8, 2016 |
THE MAINSTAY FUNDS MAINSTAY HIGH CORPORATE BOND FUND 51 Madison Avenue New York, NY 10010 THE MAINSTAY FUNDS MAINSTAY HIGH CORPORATE BOND FUND 51 Madison Avenue New York, NY 10010 November 8, 2016 VIA EDGAR Filing Desk Securities and Exchange Commission 100 F Street, N. |
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| November 8, 2016 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 8, 2016 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 8, 2016 SECURITIES ACT FILE NO. |
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| November 8, 2016 |
Consent of Independent Registered Public Accounting Firm EX-99.J.1 3 v452256ex99-j1.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit j.1 Consent of Independent Registered Public Accounting Firm The Board of Trustees of The MainStay Funds and MainStay Funds Trust: We consent to the use of our report dated December 23, 2015, with respect to the financial statements of the MainStay High Yield Corporate Bond Fund (a series of The MainSta |
