Investment adviser · CRD 167939

MACKAY SHIELDS UK LLP

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

LONDON, United Kingdom · Form ADV filed Nov 7, 2019

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

6 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

PLAINVIEW FUNDS PLC - MACKAY SHIELDS UNCONSTRAINED BOND PORTFOLIOHedge Fund · Last reported Nov 7, 2019$316MGross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-7208138235
Reported beneficial owners: 13
Minimum commitment: $5M

Form ADV 1354955 · Nov 7, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PLAINVIEW FUNDS PLC - MACKAY SHIELDS FLOATING RATE HIGH YIELD PORTFOLIOOther Private Fund · Last reported Nov 7, 2019$51.4MGross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-4961670894
Reported beneficial owners: 3
Minimum commitment: $5M

Form ADV 1354955 · Nov 7, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PLAINVIEW FUNDS PLC-MACKAY SHIELDS CORE PLUS OPPORTUNITIES PORTFOLIOHedge Fund · Last reported Nov 7, 2019$34.9MGross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-8740668940
Reported beneficial owners: 3
Minimum commitment: $5M

Form ADV 1354955 · Nov 7, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PLAINVIEW FUNDS PLC - MACKAY SHIELDS HIGH YIELD CROSSOVER PORTFOLIOHedge Fund · Last reported Nov 7, 2019$7.7MGross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-8642650408
Reported beneficial owners: 2
Minimum commitment: $5M

Form ADV 1354955 · Nov 7, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PLAINVIEW FUNDS PLC - MACKAY SHIELDS FLEXIBLE BOND PORTFOLIOHedge Fund · Last reported Mar 24, 2016$62.8MGross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC PARSIPPANY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-9509460828
Reported beneficial owners: 3
Minimum commitment: $5M

Form ADV 995506 · Mar 24, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PLAINVIEW FUNDS PLC - MACKAY SHIELDS EMERGING MARKETS CREDIT PORTFOLIOHedge Fund · Last reported Mar 28, 2018$0Gross asset value

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSE COOPERS DUBLIN, Ireland

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSE COOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-6176619620
Reported beneficial owners: 0
Minimum commitment: $5M

Form ADV 1167768 · Mar 28, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Nov 7, 2019. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

200 ALDERSGATE STREET, 13TH FLOOR
LONDON, EC1A4HD, United Kingdom

CRD 167939

Filing source

Form ADV 1354955 · Nov 7, 2019 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.