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