|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SUN LIFE FINANCIAL INC SUN LIFE ASSURANCE CO OF CANADA 150 KING STREET WEST SUITE 1400 TORONTO, A6 M5H 1J9 |
X | |||
Sun Life Assurance CO of Canada 150 KING STREET WEST TORONTO, A6 M5H 1J9 |
X |
/s/Stephen C. Peacher, Authorized Signer for Sun Life Financial Inc., Sun Life Assurance Company of Canada and Sun Life and Health Insurance Company (U.S.) | 11/27/2013 | |
**Signature of Reporting Person | Date | |
/s/John T. Donnelly, Authorized Signer for Sun Life Financial Inc., Sun Life Assurance Company of Canada and Sun Life and Health Insurance Company (U.S.) | 11/27/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Incorrectly reported as $13,000,000 on amendment dated 11/21/2013. |
(2) | Incorrectly reported in shares rather than US dollars on amendment dated 11/21/2013 |
(3) | $13,000,000 directly owned by Sun Life Assurance Company of Canada, a wholly-owned subsidiary of Sun Life Financial Inc. and $1,000,000 directly owned by Sun Life and Health Insurance Company (U.S.), an indirectly wholly-owned subsidiary of Sun Life Financial Inc. |
(4) | Securities were owned by Sun Life Assurance Company of Canada, a wholly-owned subsidiary of Sun Life Financial Inc., prior to prepayment. |
(5) | Paid by the direct owner, Sun Life and Health Insurance Company (U.S.) and not by the indirect owner, Sun Life Financial Inc. |
Remarks: $10,000,000 of 2.48% Senior Notes Series A due Dec. 15, 2013 were incorrectly reported as due Dec. 15, 2020 and as owned indirectly by Sun Life Financial Inc., and directly by Sun Life Assurance Company of Canada, on August 2, 2013 in Form 4 filing made on October 24, 2013, when such Series A Notes had previously been prepaid in full by the issuer and were no longer outstanding. As noted in November 21, 2013 amendment, Sun Life and Health Insurance Company (U.S.) does not have a CIK or CCC number. Its address is One Sun Life Executive Park, Wellesley Hills, MA 02481. |