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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 Assurance CO of Canada 150 KING STREET WEST TORONTO, A6 M5H 1J9 |
X | |||
SUN LIFE INSURANCE & ANNUITY CO OF NEW YORK 60 E 42ND ST, SUITE 1115 NEW YORK, NY 10165 |
X | |||
SUN LIFE FINANCIAL INC SUN LIFE ASSURANCE CO OF CANADA 150 KING STREET WEST SUITE 1400 TORONTO, A6 |
X |
/s/ John T. Donnelly, Senior Managing Director - Investment Products and Strategies on behalf of Sun Life Assurance Company of Canada and Sun Life Insurance and Annuity Company of New York | 10/29/2010 | |
**Signature of Reporting Person | Date | |
/s/ Ann King, Authorized Signer for Sun Life Assurance Company of Canada and Sun Life Insurance and Annuity Company of New York | 10/29/2010 | |
**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) | Direct ownership held by Sun Life Insurance and Annuity Co of New York, an affiliate of Sun Life Assurance CO of Canada. |
Remarks: Sun Life Financial Inc. (a) owns 100% of the outstanding shares of common stock of Sun Life Assurance Company of Canada, the direct owner of the 2.48% Senior Notes Series A due December 15, 2013 and $13,000,000 of the 4.29% Senior Notes Series D due December 15, 2020 and (b) indirectly owns 100% of the outstanding shares of common stock of Sun Life Insurance and Annuity Company of New York, the direct owner of $1,000,000 of the 4.29% Senior Notes Series D due December 15, 2020. |