UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK ONE GRAND CENTRAL PLACE 60 EAST 42ND STREET, SUITE 1115 NEW YORK, NY 10165 |
 |  X |  |  |
Sun Life Assurance Co of Canada (U.S.) ONE SUN LIFE EXECUTIVE PARK, SC 1303 WELLESLEY HILLS, MA 02481 |
 |  X |  |  |
SUN LIFE FINANCIAL INC 150 KING STREET WEST SUITE 1400 TORONTO, A6 M5H 1J9 |
 |  X |  |  |
/s/ John T. Donnelly, Senior Managing Director, Investments Strategic Research and Initiatives, on behalf of Sun Life Assurance Company of Canada (U.S.) and Sun Life Insurance and Annuity Company of New York | 09/27/2012 | |
**Signature of Reporting Person | Date | |
/s/ Ann C. King, Authorized Signer on behalf of Sun Life Assurance Company of Canada (U.S.) and Sun Life Insurance and Annuity Company of New York | 09/27/2012 | |
**Signature of Reporting Person | Date | |
/s/ Stephen Peacher, Authorized Signer on behalf of Sun Life Financial Inc. | 09/27/2012 | |
**Signature of Reporting Person | Date | |
/s/ Angelo Manioudakis, Authorized Signer on behalf of Sun Life Financial Inc. | 09/27/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Annuity Company of New York, which owns the securities indicated. |
(2) | Sun Life Insurance and Annuity Company of New York which owns the securities indicated,through a series of holding companies. Sun Life Financial Inc. owns all of the common stock of Sun Life Global Investments Inc., which owns all of the common stock of Sun Life Assurance Company of Canada-U.S. Operations Holdings, Inc., which owns all of the common stock of Sun Life Financial (U.S.) Holdings, Inc.,which owns all of the membership interests of Sun Life Financial (U.S.) Investments LLC, which owns all of the common stock of Sun Life of Canada (U.S.) Holdings, Inc., which owns all of the common stock of Sun Life Assurance Company of Canada (U.S.),an operating company which owns all of the common stock of Sun Life Insurance and Annuity Company of New York, which owns the securities indicated. |