Hornby Lisa Marie has submitted a Form 3, which reports no ownership of securities in the NYLIM MacKay DefinedTerm Muni Opportunities Fund. This filing is significant as it ensures compliance with SEC regulations regarding ownership disclosures.

Hornby Lisa Marie is associated with the NYLIM MacKay DefinedTerm Muni Opportunities Fund, which operates under the central index key 0001518557. The fund is incorporated in Delaware and focuses on municipal opportunities. The recent filing, dated November 4, 2026, indicates that Hornby holds no shares following the transaction.

The Form 3 filing states, "no securities owned" following the transaction, confirming that Hornby does not possess any beneficial interest in the fund at this time.

This update may affect regulatory compliance within the municipal fund sector, as firms must maintain accurate and timely disclosures to the SEC. The filing is particularly relevant for stakeholders and regulatory bodies monitoring ownership structures and compliance within the industry.

The filing does not specify what actions may follow this report.

Ownership and Reporting Structure

In the filing, Hornby Lisa Marie is identified as an 'Other' reporting owner, specifically designated as the Senior Managing Director of the Advisor for the NYLIM MacKay DefinedTerm Muni Opportunities Fund. This role does not confer directorship or officer status, which is relevant for understanding her reporting obligations and the nature of her involvement with the fund.

The filing also includes a Power of Attorney, which designates several individuals, including Thomas C. Humbert and others, as attorneys-in-fact for Hornby. This allows them to execute Forms 3, 4, and 5 on her behalf, ensuring compliance with SEC regulations. The Power of Attorney remains effective until revoked or until Hornby is no longer required to file these forms regarding her holdings in the fund.

The filing notes that the NYLIM MacKay DefinedTerm Muni Opportunities Fund was formerly known as the MainStay DefinedTerm Municipal Opportunities Fund, reflecting a history of name changes that may be relevant for investors tracking the fund's evolution.

Contact Information

The business address for both Hornby Lisa Marie and the NYLIM MacKay DefinedTerm Muni Opportunities Fund is listed as 51 Madison Avenue, New York, NY 10010, indicating a centralized location for operations and management.

While the filing provides detailed information about ownership and compliance, it does not include any information regarding future transactions or potential changes in Hornby's relationship with the fund.