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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 |
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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) |
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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 |
/s/ Stephen C. Peacher, signer for Sun Life Financial Inc. and Sun Life and Health Insurance Company (U.S.) | 11/21/2013 | |
**Signature of Reporting Person | Date | |
/s/ John T. Donnelly, signer for Sun Life Financial Inc. and Sun Life and Health Insurance Company (U.S.) | 11/21/2013 | |
**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) | On 08/02/2103, all of the stock of Sun Life Assurance Company of Canada (U.S.) which owns all of the stock of Sun Life Insurance and Annuity Company of New York, was transferred to Delaware Life Holdings LLC. Thus, Sun Life Financial Inc. ceased to be the indirect owner of 800 shares directly owned by Sun Life Insurance and Annuity Company of New York. |
(2) | Sun Life Financial Inc. owns all of the common stock of Sun Life Assurance Company of Canada, direct owner of 160 shares and indirectly, through a series of holding companies, owns all of the common stock of Sun Life and Health Insurance Company (U.S.), direct owner of 40 shares. |
(3) | Sun Life Financial Inc. owns 100% of the common stock of Sun Life Assurance Company of Canada, direct owner of 160 shares and indirectly, through a series of holding companies, on such date owned all of the common stock of Sun Life Insurance and Annuity Company of New York, direct owner of 800 shares and 100% of the common stock of Sun Life and Health Insurance Company (U.S.), direct owner of 140 shares acquired by Sun Life Insurance and Annuity Company of New York on 07/31/2013. |
(4) | Price paid by Sun Life and Health Insurance Company (U.S.), the direct owner of 40 shares, not by Sun Life Financial Inc. |
Remarks: J = On 07/31/2013, Sun Life Insurance and Annuity Company of New York, then an indirectly wholly-owned subsidiary of Sun Life Financial Inc., sold 40 shares to Sun Life and Health Insurance Company (U.S.), another indirect wholly-owned subsidiary of Sun Life Financial Inc. Sun Life and Health Insurance Company (U.S.) does not have a CIK or CCC number at this time. |