0000943663-20-000061.txt : 20200213 0000943663-20-000061.hdr.sgml : 20200213 20200213171133 ACCESSION NUMBER: 0000943663-20-000061 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALAMOS STRATEGIC TOTAL RETURN FUND CENTRAL INDEX KEY: 0001275214 IRS NUMBER: 043785941 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84333 FILM NUMBER: 20611960 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60653 BUSINESS PHONE: 6302451046 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60653 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUN LIFE FINANCIAL INC CENTRAL INDEX KEY: 0001097362 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 STATE OF INCORPORATION: Z4 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: SUN LIFE ASSURANCE CO OF CANADA STREET 2: ONE YORK STREET CITY: TORONTO STATE: A6 ZIP: M5J 0B6 BUSINESS PHONE: 4169794800 MAIL ADDRESS: STREET 1: SUN LIFE ASSURANCE CO OF CANADA STREET 2: ONE YORK STREET CITY: TORONTO STATE: A6 ZIP: M5J 0B6 FORMER COMPANY: FORMER CONFORMED NAME: SUN LIFE FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20030702 FORMER COMPANY: FORMER CONFORMED NAME: SUN LIFE FINANCIAL SERVICES OF CANADA INC DATE OF NAME CHANGE: 20000224 SC 13G/A 1 calamos13g022020.htm SCHEDULE 13G/A
 
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
___________________

SCHEDULE 13G
 
Under the Securities Exchange Act of 1934


(Amendment No. 2)*


CALAMOS STRATEGIC TOTAL RETURN FUND
(Name of Issuer)
 
Series A Mandatory Redeemable Preferred Shares
Series B Mandatory Redeemable Preferred Shares
Series C Mandatory Redeemable Preferred Shares
(Title of Class of Securities)
 
128125*29
128125*37
128125*45
(CUSIP Number)
 
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 
 
 
CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 2 of 7
 
 
1
NAMES OF REPORTING PERSONS
 
 
Sun Life Financial Inc.
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
    
(a) ☐
    
(b) ☐
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
Canada
 
 
 
 
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5
SOLE VOTING POWER
 
 
800,000
 
 
 
 
6
SHARED VOTING POWER
 
 
0
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
800,000
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
0
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
800,000
 
 
 
 
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
☐
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
8.26%
 
 
 
 
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
 
HC, CO
 
 
 
 
 

 
CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 3 of 7
 
 
 
Item 1(a).
Name of Issuer:
 
CALAMOS STRATEGIC TOTAL RETURN FUND
 
Item 1(b).
Address of Issuer’s Principal Executive Offices:
 
2020 Calamos Court
Naperville, Illinois 60563-2787
USA
 
Item 2(a).
Name of Person Filing:
 
Sun Life Financial Inc.
 
Item 2(b).
Address of Principal Business Office or, if none, Residence:
 
1 York Street
Toronto, Ontario, Canada M5J 0B6
 
Item 2(c).
Citizenship:
 
Canada
 
Item 2(d).
Title of Class of Securities:
 
Mandatory Redeemable Preferred Shares
 
Item 2(e).
CUSIP Number:
 
128125*29
128125*37
128125*45

 
 
CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 4 of 7
 
 
Item 3.
 If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), Check Whether the Person Filing Is a(n):

(a) ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

(b) ☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);

(c) ☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);

(d) ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

(e) ☐ Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

(f) ☐ Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

(g) ☒ Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);

(h) ☐ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i) ☐ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j) ☒ A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

(k)
☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).
 
 If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution:  Parent holding company.
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)
Amount beneficially owned: 
 
800,000*

(b)
Percent of class:
 
8.26%**

(c) Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:  800,000

(ii) Shared power to vote or to direct the vote:  0

  (iii) Sole power to dispose or to direct the disposition of:  800,000

  (iv) Shared power to dispose or to direct the disposition of:  0
 
* The preferred stock of the issuer is currently composed of three series:  (i) Mandatory Redeemable Preferred Shares Series A, of which the Reporting Person owns 80,000 shares, (ii) Mandatory Redeemable Preferred Shares Series B, of which the Reporting Person owns 80,000 shares, and (iii) Mandatory Redeemable Preferred Shares Series C, of which the Reporting Person owns 640,000 shares.

** As a percentage of all 9,680,000 shares of preferred stock currently outstanding.
 



CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 5 of 7
 
 
Item 5.
Ownership of Five Percent or Less of a Class.
                        If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.

Item 6.
Ownership of More Than Five Percent on Behalf of Another Person.
 
Not Applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
 
Sun Life Assurance Company of Canada; classification: insurance company.
 
Item 8.
Identification and Classification of Members of the Group.
 
Not Applicable.
 
Item 9.
Notice of Dissolution of Group.
 
Not Applicable.
 
Item 10.
Certification.
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

By signing below I certify that, to the best of my knowledge and belief, the foreign regulatory scheme applicable to insurance companies in Canada is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.S. institutions. I also undertake to furnish the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.
 

 
CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 6 of 7
 
 
SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:  February 13, 2020
 
 
SUN LIFE FINANCIAL INC.
  
   
 
By:
 /s/ Randolph B. Brown
  
   
Name:  Randolph B. Brown  
Title:    Authorized Signatory
  
       
       
   By:  /s/  Brett Pacific  
   
Name:  Brett Pacific  
Title:    Authorized Signatory
 
 
 

CUSIP No. 128125*29
CUSIP No. 128125*37
CUSIP No. 128125*45
  
 
13G
 
  
 
Page 7 of 7
 
 
EXHIBIT 1
WHEREAS, in accordance with Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934 (the “Act”), only one joint Statement and any amendments thereto need to be filed whenever one or more persons are required to file such a Statement or any amendments thereto pursuant to Section 13(d) of the Act with respect to the same securities, provided that said persons agree in writing that such Statement or amendments thereto is filed on behalf of each of them;
NOW, THEREFORE, the parties hereto agree as follows:
Sun Life Assurance Company of Canada and Sun Life Financial Inc. do hereby agree, in accordance with Rule 13d-1(k)(1) under the Act, to file a Statement on Schedule 13G relating to their ownership of the Series A Mandatory Redeemable Preferred Shares, Series B Mandatory Redeemable Preferred Shares and Series C Mandatory Redeemable Preferred Shares of the Issuer, and do hereby further agree that said Statement on Schedule 13G shall be filed on behalf of each of them.


 
SUN LIFE FINANCIAL INC.
  
 
 
 Dated: February 13, 2020
By:
 /s/ Randolph B. Brown
  
   
Name:  Randolph B. Brown  
Title:    Authorized Signatory
  
       
       
 Dated: February 13, 2020  By:  /s/ Brett Pacific  
   
Name:  Brett Pacific  
Title:    Authorized Signatory