Form D · Hedge Fund

MACKAY SHIELDS STATUTORY TRUST

New York, NY · CIK 0001161014

Offering snapshot reported Oct 7, 2016 · SEC filing

Reported sold: $575M
Investors reported: 54
Minimum accepted: $2M
First sale: Feb 1, 2000

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

Reported sold$550,085,336 → $575,042,261
Reported investors49 → 54

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 7, 2016	Amendment	$575,042,261	$24,956,925vs Oct 9, 2013	54	SEC filing
Oct 9, 2015	Amendment	$572,633,761	$22,548,425vs Oct 9, 2013	53	SEC filing
Oct 9, 2014	Amendment	$551,067,536	$982,200vs Oct 9, 2013	50	SEC filing
Oct 9, 2013	Amendment	$550,085,336	$0vs Oct 9, 2012	49	SEC filing
Oct 9, 2012	Amendment	$550,085,336	$2,631,000vs Oct 17, 2011	49	SEC filing
Oct 17, 2011	Amendment	$547,454,336	$35,664,800vs Oct 21, 2010	49	SEC filing
Oct 21, 2010	Initial	$511,789,536	No comparison	49	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $2.8M (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-149371

This figure has been calculated from inception as of October 1, 2016.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
None	None	NYLIFE Distributors LLC · CRD 35350

Source: Form D, filed Oct 7, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

MACKAY SHIELDS STATUTORY TRUST HIGH YIELD CORPORATE BOND SERIES

Investment adviser: MACKAY SHIELDS LLC

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $0

Reported in Form ADV on Mar 28, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE BANK OF NEW YORK MELLON LAKE MARY, Florida, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: No

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

Filing source

Form ADV 1167767 · Mar 28, 2018 · Schedule D 7.B.(1), fund 805-9850695096

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

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
None The Bank Of New York Mellon	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Mackay Shields Llc 1345 Avenue Of The Americas, 43 Rd Floor
New York, NY, 10105