0001047469-13-000995.txt : 20130213
0001047469-13-000995.hdr.sgml : 20130213
20130213165345
ACCESSION NUMBER: 0001047469-13-000995
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130213
DATE AS OF CHANGE: 20130213
EFFECTIVENESS DATE: 20130213
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SUN LIFE FINANCIAL INC
CENTRAL INDEX KEY: 0001097362
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05799
FILM NUMBER: 13604099
BUSINESS ADDRESS:
STREET 1: 150 KING STREET WEST
CITY: TORONTO
STATE: A6
ZIP: M5H 1J9
BUSINESS PHONE: 4169799966
MAIL ADDRESS:
STREET 1: SUN LIFE ASSURANCE CO OF CANADA
STREET 2: 150 KING STREET WEST SUITE 1400
CITY: TORONTO
STATE: A6
ZIP: M5H 1J9
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
13F-HR
1
a2212343z13f-hr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 2012
-----------------------
Check Here if Amendment / /; Amendment Number:
---------
This Amendment (Check only one.): / / is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Sun Life Financial Inc.
---------------------------------
Address: 150 King Street West
---------------------------------
Toronto, Ontario, Canada, M5H 1J9
---------------------------------
Form 13F File Number: 28-05799
---------------------
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts of
this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: John Vaz
-------------------------------
Title: Compliance Analyst
-------------------------------
Phone: 781-446-2420
-------------------------------
Signature, Place, and Date of Signing:
/s/ John Vaz Wellesley Hills, MA February 12, 2013
------------------------------- ------------------- -----------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
/ / 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
/ / 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
/X/ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-06597 McLean Budden
--------------- ------------------------------------
28-04968 MFS
--------------- ------------------------------------
[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
--------------------
Form 13F Information Table Entry Total: 204
--------------------
Form 13F Information Table Value Total: US$1,289,048
--------------------
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
1 28-12046 Sun Capital Advisers LLC.
------ ----------------- ------------------------------------
2 28-12047 Sun Life Assurance Company of Canada
------ ----------------- ------------------------------------
[Repeat as necessary.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------- -------------- --------- ----------- ------------------- ---------- ---------- -------------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------- -------------- --------- ----------- ---------- --- ---- ---------- ---------- -------- ---------- -----
3M CO COM 88579Y101 5,809 62,560 SH SHARED 1 62,560
3M CO COM 88579Y101 1,391 14,981 SH SHARED 2 14,981
Abbott Laboratories COM 002824100 1,638 25,000 SH SHARED 1 25,000
Acme Packet Inc COM 004764106 10,376 469,098 SH SHARED 1 469,098
Acme Packet Inc COM 004764106 3,500 158,206 SH SHARED 2 158,206
Aeropostale Inc COM 007865108 10,363 796,571 SH SHARED 1 796,571
Aeropostale Inc COM 007865108 1,080 82,991 SH SHARED 2 82,991
AES Corporation COM 00130H105 3,186 297,733 SH SHARED 1 297,733
AES Corporation COM 00130H105 1,065 99,571 SH SHARED 2 99,571
American International
Group COM 026874784 6,830 193,475 SH SHARED 1 193,475
Amgen Inc COM 031162100 5,590 64,851 SH SHARED 1 64,851
Amgen Inc COM 031162100 2,010 23,320 SH SHARED 2 23,320
Apple Inc COM 037833100 3,621 6,804 SH SHARED 1 6,804
Apple Inc 037833100 1,278 2,401 SHARED 2 2,401
Archer Daniels Midland COM 039483102 4,320 157,715 SH SHARED 1 157,715
AT&T Inc COM 00206R102 6,644 197,094 SH SHARED 1 197,094
AT&T Inc COM 00206R102 2,197 65,170 SH SHARED 2 65,170
Bank of America Corp COM 060505104 2,134 183,820 SH SHARED 2 183,820
Barclays Bank Plc COM 06738C828 52,001 54,200,000 SH SHARED 1 54,200,000
Barclays Bank Plc COM 06738C828 19,860 20,700,000 SH SHARED 1 20,700,000
Baxter International Inc COM 071813109 4,641 69,624 SH SHARED 1 69,624
Baxter International Inc COM 071813109 1,765 26,484 SH SHARED 2 26,484
BB&T Corporation COM 054937107 3,476 119,407 SH SHARED 1 119,407
BB&T Corporation COM 054937107 1,281 44,012 SH SHARED 2 44,012
Berkshire Hathaway Inc COM 084670702 4,375 48,779 SH SHARED 1 48,779
Berkshire Hathaway Inc COM 084670702 1,531 17,070 SH SHARED 2 17,070
Boeing Company COM 097023105 5,371 71,274 SH SHARED 1 71,274
Boeing Company COM 097023105 1,246 16,534 SH SHARED 2 16,534
Boston Scientific Corp COM 101137107 8,456 1,475,791 SH SHARED 1 1,475,791
Boston Scientific Corp COM 101137107 3,016 526,296 SH SHARED 2 526,296
BOSTON SCIENTIFIC
CORPORATION COM 101137107 5,444 950,000 SH SHARED 1 950,000
Bristol-Myers Squibb COM 110122108 5,982 183,544 SH SHARED 1 183,544
Bristol-Myers Squibb COM 110122108 1,527 46,855 SH SHARED 2 46,855
Bunge Limited COM G16962105 4,580 63,010 SH SHARED 1 63,010
Bunge Limited COM G16962105 1,618 22,260 SH SHARED 2 22,260
Caterpillar Inc COM 149123101 1,614 18,009 SH SHARED 1 18,009
CCG Commercial Pool II
Inc COM 12501RAF6 379 1,000 SH SHARED 1 1,000
Centurylink Inc COM 156700106 3,664 93,652 SH SHARED 1 93,652
Centurylink Inc COM 156700106 1,468 37,531 SH SHARED 2 37,531
Charles Schwab Corp COM 808513105 3,681 256,345 SH SHARED 1 256,345
Charles Schwab Corp COM 808513105 926 64,491 SH SHARED 2 64,491
Chevron Corp COM 166764100 10,776 99,649 SH SHARED 1 99,649
Chevron Corp COM 166764100 3,313 30,632 SH SHARED 2 30,632
Cisco Systems Inc COM 17275R102 1,847 93,996 SH SHARED 1 93,996
Citigroup Inc COM 172967424 1,282 32,408 SH SHARED 2 32,408
Clean Energy Fuels Corp COM 184499101 3,972 319,063 SH SHARED 1 319,063
Clean Energy Fuels Corp COM 184499101 1,338 107,504 SH SHARED 2 107,504
Coca-Cola Co COM 191216100 6,039 166,606 SH SHARED 1 166,606
Coca-Cola Co COM 191216100 1,518 41,880 SH SHARED 2 41,880
Commvault Systems Inc COM 204166102 5,168 74,182 SH SHARED 1 74,182
Commvault Systems Inc COM 204166102 1,736 24,923 SH SHARED 2 24,923
ConocoPhillips COM 20825C104 5,041 86,931 SH SHARED 1 86,931
ConocoPhillips COM 20825C104 1,170 20,176 SH SHARED 2 20,176
Consolidated Edison Inc COM 209115104 1,378 24,817 SH SHARED 1 24,817
Cosi Inc COM 22122P101 775 996,776 SH SHARED 1 996,776
Cosi Inc COM 22122P101 289 371,709 SH SHARED 2 371,709
CVS Caremark Corporation COM 126650100 4,436 91,758 SH SHARED 1 91,758
CVS Caremark Corporation COM 126650100 1,563 32,334 SH SHARED 2 32,334
Deckers Outdoor Corp COM 243537107 6,236 154,867 SH SHARED 1 154,867
Deckers Outdoor Corp COM 243537107 4,816 119,593 SH SHARED 2 119,593
DR Horton Inc COM 23331A109 5,008 253,191 SH SHARED 1 253,191
DR Horton Inc COM 23331A109 1,762 89,094 SH SHARED 2 89,094
Duke Energy Corp COM 26441C204 1,416 22,192 SH SHARED 1 22,192
EI Dupont de Nemour and
Co COM 263534109 1,444 32,108 SH SHARED 1 32,108
Eli Lilly & Co COM 532457108 4,888 99,118 SH SHARED 1 99,118
Eli Lilly & Co COM 532457108 1,668 33,815 SH SHARED 2 33,815
Emerson Electric Co COM 291011104 4,247 80,185 SH SHARED 1 80,185
Emerson Electric Co COM 291011104 1,474 27,841 SH SHARED 2 27,841
EOG Resources COM 26875P101 4,533 37,526 SH SHARED 1 37,526
EOG Resources COM 26875P101 1,599 13,234 SH SHARED 2 13,234
Exelon Corporation COM 30161N101 940 31,602 SH SHARED 2 31,602
Express Inc COM 30219E103 10,829 717,630 SH SHARED 1 717,630
Express Inc COM 30219E103 1,915 126,877 SH SHARED 2 126,877
Exxon Mobil Corp COM 30231G102 17,681 204,282 SH SHARED 1 204,282
Exxon Mobil Corp COM 30231G102 4,858 56,129 SH SHARED 2 56,129
Fifth Third Bancorp COM 316773100 4,303 283,075 SH SHARED 1 283,075
Forest Laboratories Inc COM 345838106 7,326 207,410 SH SHARED 1 207,410
Forest Laboratories Inc COM 345838106 2,579 73,031 SH SHARED 2 73,031
Fusion-io Inc COM 36112J107 12,007 523,645 SH SHARED 1 523,645
Fusion-io Inc COM 36112J107 4,123 179,817 SH SHARED 2 179,817
General Electric Company COM 369604103 8,663 412,718 SH SHARED 1 412,718
General Electric Company COM 369604103 2,635 125,522 SH SHARED 2 125,522
Goldman Sachs Group Inc COM 38141G104 5,049 39,584 SH SHARED 1 39,584
Goldman Sachs Group Inc COM 38141G104 1,309 10,265 SH SHARED 2 10,265
Goodyear Tire & Rubber
Co COM 382550101 4,678 338,704 SH SHARED 1 338,704
Goodyear Tire & Rubber
Co COM 382550101 1,632 118,150 SH SHARED 2 118,150
Google Inc COM 38259P508 9,377 13,256 SH SHARED 1 13,256
Google Inc COM 38259P508 2,341 3,309 SH SHARED 2 3,309
Halozyme Therapeutics
Inc COM 40637H109 5,130 764,566 SH SHARED 1 764,566
Halozyme Therapeutics
Inc COM 40637H109 1,256 187,142 SH SHARED 2 187,142
Hess Corp COM 42809H107 3,277 61,876 SH SHARED 1 61,876
Hess Corp COM 42809H107 1,048 19,796 SH SHARED 2 19,796
Home Depot Inc COM 437076102 1,917 31,000 SH SHARED 1 31,000
Honeywell International
Inc COM 438516106 7,104 111,930 SH SHARED 1 111,930
Honeywell International
Inc COM 438516106 1,595 25,136 SH SHARED 2 25,136
IBM Corp COM 459200101 1,526 7,969 SH SHARED 1 7,969
Intel Corp COM 458140100 1,236 59,918 SH SHARED 1 59,918
Intermec Inc COM 458786100 5,379 545,514 SH SHARED 1 545,514
INTERMEC INC COM 458786100 3,205 325,000 SH SHARED 1 325,000
International Paper Co COM 460146103 13,078 328,271 SH SHARED 1 328,271
International Paper Co COM 460146103 4,240 106,435 SH SHARED 2 106,435
IShares COM 464286699 3,299 183,870 SH SHARED 1 183,870
IShares 464287465 24,384 428,838 SHARED 2 428,838
ISHARES MSCI EAFE INDEX
FUND COM 464287465 7,115 125,125 SH SHARED 1 125,125
ISHARES MSCI FRANCE
INDEX FUND COM 464286707 3,607 152,900 SH SHARED 1 152,900
ISHARES MSCI GERMANY
INDEX COM 464286806 717 29,000 SH SHARED 1 29,000
ISHARES MSCI JAPAN FUND COM 464286848 8,085 829,256 SH SHARED 1 829,256
ISHARES MSCI MEXICO
INVESTABLE MARKET INDEX
FUND COM 464286822 1,486 21,075 SH SHARED 1 21,075
ISHARES MSCI UNITED
KINGDOM INDEX FUND COM 464286699 2,678 149,300 SH SHARED 1 149,300
Johnson & Johnson COM 478160104 3,174 45,275 SH SHARED 1 45,275
JP Morgan Chase & Co COM 46625H100 2,622 59,643 SH SHARED 2 59,643
Kayne Anderson ETR Fund
Inc. COM 48660P2#0 17,040 600,000 SH SHARED 1 600,000
Kayne Anderson Midstream
Enrgy 48661E2*8 17,340 600,000 SH SHARED 1 600,000
Kayne Anderson MLP
Investment COM 4866062#2 17,100 600,000 SH SHARED 1 600,000
Kayne Anderson MLP
Investment COM 4866064#0 13,068 440,000 SH SHARED 1 440,000
Kimberly-Clark Corp COM 494368103 5,658 67,017 SH SHARED 1 67,017
Kimberly-Clark Corp COM 494368103 1,348 15,966 SH SHARED 2 15,966
Kohls Corp COM 500255104 3,559 82,817 SH SHARED 1 82,817
Kohls Corp COM 500255104 1,289 29,994 SH SHARED 2 29,994
Kraft Foods Group Inc COM 50076Q106 610 13,418 SH SHARED 1 13,418
Legg Mason Inc COM 524901105 3,820 148,519 SH SHARED 1 148,519
Legg Mason Inc COM 524901105 1,349 52,460 SH SHARED 2 52,460
Lloyds Banking Group Plc COM 539439AC3 1,278 1,460,000 SH SHARED 1 1,460,000
Lockheed Martin Corp COM 539830109 3,636 39,401 SH SHARED 1 39,401
Lockheed Martin Corp COM 539830109 1,288 13,959 SH SHARED 2 13,959
McDonald's Corp COM 580135101 2,876 32,602 SH SHARED 1 32,602
Mellanox Technologies
Ltd COM B1R96S6 3,145 52,957 SH SHARED 1 52,957
Mellanox Technologies
Ltd COM B1R96S6 1,080 18,185 SH SHARED 2 18,185
Merck & Co Inc COM 58933Y105 5,998 146,515 SH SHARED 1 146,515
Merck & Co Inc COM 58933Y105 1,501 36,675 SH SHARED 2 36,675
Merge Healthcare Inc COM 589499102 2,445 989,930 SH SHARED 1 989,930
Merge Healthcare Inc COM 589499102 624 252,733 SH SHARED 2 252,733
Metlife Inc COM 59156R108 3,241 98,384 SH SHARED 1 98,384
Microsoft Corp COM 594918104 1,410 52,807 SH SHARED 1 52,807
Mondelez International
Inc COM 609207105 1,025 40,255 SH SHARED 1 40,255
Morgan Stanley COM 617446448 2,787 145,739 SH SHARED 1 145,739
Morgan Stanley COM 617446448 923 48,290 SH SHARED 2 48,290
Mosaic Holdings Inc COM 61945C103 7,825 138,175 SH SHARED 1 138,175
Mosaic Holdings Inc COM 61945C103 2,673 47,196 SH SHARED 2 47,196
MRV Communications Inc COM 553477407 156 15,182 SH SHARED 2 15,182
MRV Communications Inc COM 553477407 2,576 250,137 SH SHARED 1 250,137
Neuberger Berman Real
Estate COM 64190A2#9 27,106 1,000 SH SHARED 1 1,000
Occidental Petroleum
Corp COM 674599105 3,438 44,872 SH SHARED 1 44,872
Occidental Petroleum
Corp COM 674599105 1,212 15,824 SH SHARED 2 15,824
Oclaro Inc COM 67555N206 1,788 1,138,771 SH SHARED 1 1,138,771
Oclaro Inc COM 67555N206 789 502,350 SH SHARED 2 502,350
Palo Alto Networks Inc COM 697435105 13,131 245,347 SH SHARED 1 245,347
Palo Alto Networks Inc COM 697435105 4,956 92,597 SH SHARED 2 92,597
Pep-Boys Manny Moe &
Jack COM 713278109 4,106 417,710 SH SHARED 1 417,710
Pep-Boys Manny Moe &
Jack COM 713278109 1,445 146,987 SH SHARED 2 146,987
Pepsico Inc COM 713448108 5,651 82,585 SH SHARED 1 82,585
Pepsico Inc COM 713448108 1,390 20,310 SH SHARED 2 20,310
Pfizer Inc COM 717081103 8,035 320,365 SH SHARED 1 320,365
Pfizer Inc COM 717081103 1,168 46,581 SH SHARED 2 46,581
Philip Morris
International COM 718172109 4,135 49,441 SH SHARED 1 49,441
Philip Morris
International COM 718172109 1,457 17,422 SH SHARED 2 17,422
PNC Financial Services
Group COM 693475105 4,878 83,657 SH SHARED 1 83,657
POWERSHARES QQQ COM 73935A104 28,062 431,000 SH SHARED 1 431,000
Procter & Gamble Co COM 742718109 9,291 136,857 SH SHARED 1 136,857
Procter & Gamble Co COM 742718109 2,080 30,641 SH SHARED 2 30,641
Prudential Financial Inc COM 744320102 3,325 62,354 SH SHARED 1 62,354
Raytheon Company COM 755111507 3,782 65,705 SH SHARED 1 65,705
Raytheon Company COM 755111507 1,340 23,278 SH SHARED 2 23,278
Resolute Forest Products COM B87SJM7 38 2,841 SH SHARED 1 2,841
Riverbed Technology Inc COM 768573107 13,153 667,004 SH SHARED 1 667,004
Riverbed Technology Inc COM 768573107 4,647 235,648 SH SHARED 2 235,648
Silicon Graphics
International COM 82706L108 8,912 871,123 SH SHARED 1 871,123
Silicon Graphics
International COM 82706L108 3,248 317,493 SH SHARED 2 317,493
SILICON GRAPHICS
INTERNATIONAL CORP COM 82706L108 9,621 940,500 SH SHARED 1 940,500
Sourcefire Inc COM 83616T108 10,830 229,362 SH SHARED 1 229,362
Sourcefire Inc COM 83616T108 2,953 62,535 SH SHARED 2 62,535
SPDR S&P 500 ETF TRUST COM 78462F103 284,435 1,997,299 SH SHARED 1 1,997,299
State Street Corp COM 857477103 4,207 89,490 SH SHARED 1 89,490
State Street Corp COM 857477103 1,274 27,104 SH SHARED 2 27,104
Talisman Energy Inc COM 87425E103 3,719 328,200 SH SHARED 1 328,200
Talisman Energy Inc COM 87425E103 1,288 113,700 SH SHARED 2 113,700
Target Corporation COM 87612E106 4,068 68,750 SH SHARED 1 68,750
Target Corporation COM 87612E106 1,372 23,194 SH SHARED 2 23,194
Travelers Cos Inc COM 89417E109 6,241 86,900 SH SHARED 1 86,900
Travelers Cos Inc COM 89417E109 1,784 24,845 SH SHARED 2 24,845
United Technologies Corp COM 913017109 6,759 82,415 SH SHARED 1 82,415
United Technologies Corp COM 913017109 1,393 16,988 SH SHARED 2 16,988
US Bancorp COM 902973304 6,614 207,074 SH SHARED 1 207,074
US Bancorp COM 902973304 1,575 49,307 SH SHARED 2 49,307
Valero Energy Corp COM 91913Y100 4,987 146,163 SH SHARED 1 146,163
Valero Energy Corp COM 91913Y100 1,753 51,364 SH SHARED 2 51,364
Vanguard REIT ETF COM 922908553 68,866 1,046,600 SH SHARED 1 1,046,600
Vanguard REIT ETF COM 922908553 11,035 167,710 SH SHARED 2 167,710
Vasco Data Security Intl
Inc. COM 92230Y104 4,470 547,840 SH SHARED 1 547,840
Vasco Data Security Intl
Inc. COM 92230Y104 1,739 213,102 SH SHARED 2 213,102
Verizon Communications
Inc COM 92343V104 7,022 162,281 SH SHARED 1 162,281
Verizon Communications
Inc COM 92343V104 1,514 35,000 SH SHARED 2 35,000
Vicor Corp COM 925815102 1,429 263,604 SH SHARED 1 263,604
Vicor Corp COM 925815102 934 172,405 SH SHARED 2 172,405
VICOR CORPORATION COM 925815102 2,966 547,164 SH SHARED 1 547,164
VM Ware Inc COM 928563402 4,515 47,962 SH SHARED 1 47,962
VM Ware Inc COM 928563402 1,550 16,469 SH SHARED 2 16,469
Wachovia Capital Trust
III COM 92978AAA0 15,920 16,000,000 SH SHARED 1 16,000,000
Wachovia Capital Trust
III COM 92978AAA0 995 1,000,000 SH SHARED 1 1,000,000
Wal-Mart Stores Inc COM 931142103 1,561 22,876 SH SHARED 1 22,876
Walt Disney Co COM 254687106 2,752 55,272 SH SHARED 1 55,272
Walt Disney Co COM 254687106 928 18,648 SH SHARED 2 18,648
Wells Fargo & Co COM 949746101 3,303 96,635 SH SHARED 2 96,635
XL Group Plc COM 98372PAJ7 368 394,000 SH SHARED 1 394,000
1,289,048