0001047469-13-006074.txt : 20130514 0001047469-13-006074.hdr.sgml : 20130514 20130514140906 ACCESSION NUMBER: 0001047469-13-006074 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 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: 13840728 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 a2214965z13f-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: March 31, 2013 ----------------------- 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 May 10, 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: 198 -------------------- Form 13F Information Table Value Total: US$1,320,862 -------------------- (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. No. Form 13F File Number Name 1 28-12046 Sun Capital Advisers LLC. ------ ----------------- ------------------------------------ 2 28-12047 Sun Life Assurance Company of Canada ------ ----------------- ------------------------------------
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 OLUMN 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 6,651 62,560 SH SOLE 1 62560 3M CO COM 88579Y101 1,593 14,981 SH SOLE 2 14981 Abbott Laboratories COM 002824100 883 25,000 SH SOLE 1 25000 Abbvie Inc COM 00287Y109 1,020 25,000 SH SOLE 1 25000 Acme Packet Inc COM 004764106 13,707 469,098 SH SOLE 1 469098 Aeropostale Inc COM 007865108 10,833 796,571 SH SOLE 1 796571 Aeropostale Inc COM 007865108 1,940 142,656 SH SOLE 2 142656 AES Corporation COM 00130H105 3,743 297,733 SH SOLE 1 297733 AES Corporation COM 00130H105 1,252 99,571 SH SOLE 2 99571 American International Group COM NEW 026874784 7,511 193,475 SH SOLE 1 193475 Amgen Inc COM 031162100 6,648 64,851 SH SOLE 1 64851 Amgen Inc COM 031162100 2,391 23,320 SH SOLE 2 23320 Apple Inc COM 037833100 1,063 2,401 SH SOLE 2 2401 Archer Daniels Midland COM 039483102 5,320 157,715 SH SOLE 1 157715 AT&T Inc COM 00206R102 7,231 197,094 SH SOLE 1 197094 AT&T Inc COM 00206R102 2,391 65,170 SH SOLE 2 65170 Bank of America Corp COM 060505104 2,239 183,820 SH SOLE 2 183820 Barclays Bank Plc CALL 06738C828 14,437 14,905,000 SH SOLE 1 14905000 Barclays Bank Plc CALL 06738C828 18,345 18,940,000 SH SOLE 1 18940000 Baxter International Inc COM 071813109 5,057 69,624 SH SOLE 1 69624 Baxter International Inc COM 071813109 1,924 26,484 SH SOLE 2 26484 BB&T Corporation COM 054937107 3,748 119,407 SH SOLE 1 119407 Berkshire Hathaway Inc CL B NEW 084670702 5,083 48,779 SH SOLE 1 48779 Berkshire Hathaway Inc CL B NEW 084670702 1,779 17,070 SH SOLE 2 17070 Boeing Company COM 097023105 6,119 71,274 SH SOLE 1 71274 Boeing Company COM 097023105 1,419 16,534 SH SOLE 2 16534 Boston Scientific Corp COM 101137107 11,526 1,475,791 SH SOLE 1 1475791 Boston Scientific Corp COM 101137107 4,110 526,296 SH SOLE 2 526296 BOSTON SCIENTIFIC CORPORATION COM 101137107 7,420 950,000 SH SOLE 1 950000 Bristol-Myers Squibb COM 110122108 7,560 183,544 SH SOLE 1 183544 Bristol-Myers Squibb COM 110122108 1,930 46,855 SH SOLE 2 46855 Bunge Limited COM G16962105 4,652 63,010 SH SOLE 1 63010 Bunge Limited COM G16962105 1,643 22,260 SH SOLE 2 22260 Caterpillar Inc COM 149123101 1,566 18,009 SH SOLE 1 18009 CCG Commercial Pool II Inc PFD 12501RAF6 330 1,000 SH SOLE 1 1000 Centurylink Inc COM 156700106 3,290 93,652 SH SOLE 1 93652 Centurylink Inc COM 156700106 1,318 37,531 SH SOLE 2 37531 Charles Schwab Corp COM 808513105 4,535 256,345 SH SOLE 1 256345 Charles Schwab Corp COM 808513105 1,141 64,491 SH SOLE 2 64491 Chevron Corp COM 166764100 11,840 99,649 SH SOLE 1 99649 Chevron Corp COM 166764100 3,640 30,632 SH SOLE 2 30632 Cisco Systems Inc COM 17275R102 1,965 93,996 SH SOLE 1 93996 Citigroup Inc COM NEW 172967424 1,434 32,408 SH SOLE 2 32408 Clean Energy Fuels Corp COM 184499101 4,148 319,063 SH SOLE 1 319063 Clean Energy Fuels Corp COM 184499101 1,398 107,504 SH SOLE 2 107504 Coca-Cola Co COM 191216100 6,738 166,606 SH SOLE 1 166606 Coca-Cola Co COM 191216100 1,694 41,880 SH SOLE 2 41880 Commvault Systems Inc COM 204166102 6,081 74,182 SH SOLE 1 74182 ConocoPhillips COM 20825C104 5,225 86,931 SH SOLE 1 86931 ConocoPhillips COM 20825C104 1,213 20,176 SH SOLE 2 20176 Consolidated Edison Inc COM 209115104 1,515 24,817 SH SOLE 1 24817 Cosi Inc COM 22122P101 688 996,776 SH SOLE 1 996776 Cosi Inc COM 22122P101 256 371,709 SH SOLE 2 371709 CVS Caremark Corporation COM 126650100 5,046 91,758 SH SOLE 1 91758 CVS Caremark Corporation COM 126650100 1,778 32,334 SH SOLE 2 32334 Deckers Outdoor Corp COM 243537107 8,625 154,867 SH SOLE 1 154867 Deckers Outdoor Corp COM 243537107 6,660 119,593 SH SOLE 2 119593 Denbury Res Inc COM 247916208 4,773 255,932 SH SOLE 1 255932 Denbury Res Inc COM 247916208 1,622 86,993 SH SOLE 2 86993 DR Horton Inc COM 23331A109 6,153 253,191 SH SOLE 1 253191 Duke Energy Corp COM NEW 26441C204 1,611 22,192 SH SOLE 1 22192 EI Dupont de Nemour and Co COM 263534109 1,578 32,108 SH SOLE 1 32108 Eli Lilly & Co COM 532457108 5,629 99,118 SH SOLE 1 99118 Eli Lilly & Co COM 532457108 1,920 33,815 SH SOLE 2 33815 Emerson Electric Co COM 291011104 4,480 80,185 SH SOLE 1 80185 Emerson Electric Co COM 291011104 1,555 27,841 SH SOLE 2 27841 EOG Resources COM 26875P101 4,806 37,526 SH SOLE 1 37526 EOG Resources COM 26875P101 1,695 13,234 SH SOLE 2 13234 Express Inc COM 30219E103 12,781 717,630 SH SOLE 1 717630 Express Inc COM 30219E103 2,260 126,877 SH SOLE 2 126877 Exxon Mobil Corp COM 30231G102 13,954 154,860 SH SOLE 1 154860 Exxon Mobil Corp COM 30231G102 3,543 39,315 SH SOLE 2 39315 Fifth Third Bancorp COM 316773100 4,617 283,075 SH SOLE 1 283075 Forest Laboratories Inc COM 345838106 7,890 207,410 SH SOLE 1 207410 Forest Laboratories Inc COM 345838106 2,778 73,031 SH SOLE 2 73031 Fusion-io Inc COM 36112J107 11,240 686,605 SH SOLE 1 686605 Fusion-io Inc COM 36112J107 3,800 232,122 SH SOLE 2 232122 General Electric Company COM 369604103 9,542 412,718 SH SOLE 1 412718 General Electric Company COM 369604103 2,902 125,522 SH SOLE 2 125522 Goldman Sachs Group Inc COM 38141G104 5,825 39,584 SH SOLE 1 39584 Goldman Sachs Group Inc COM 38141G104 1,510 10,265 SH SOLE 2 10265 Goodyear Tire & Rubber Co COM 382550101 4,271 338,704 SH SOLE 1 338704 Goodyear Tire & Rubber Co COM 382550101 1,490 118,150 SH SOLE 2 118150 Google Inc CL A 38259P508 10,526 13,256 SH SOLE 1 13256 Google Inc CL A 38259P508 2,627 3,309 SH SOLE 2 3309 Halozyme Therapeutics Inc COM 40637H109 4,412 764,566 SH SOLE 1 764566 Halozyme Therapeutics Inc COM 40637H109 1,080 187,142 SH SOLE 2 187142 Hess Corporation COM 42809H107 4,431 61,876 SH SOLE 1 61876 Hess Corporation COM 42809H107 1,418 19,796 SH SOLE 2 19796 Home Depot Inc COM 437076102 2,163 31,000 SH SOLE 1 31000 Honeywell International Inc COM 438516106 8,434 111,930 SH SOLE 1 111930 Honeywell International Inc COM 438516106 1,894 25,136 SH SOLE 2 25136 IBM Corp COM 459200101 1,700 7,969 SH SOLE 1 7969 Intel Corp COM 458140100 1,309 59,918 SH SOLE 1 59918 INTERMEC INC COM 458786100 3,195 325,000 SH SOLE 1 325000 International Paper Co COM 460146103 15,291 328,271 SH SOLE 1 328271 International Paper Co COM 460146103 3,333 71,552 SH SOLE 2 71552 IShares MSCI UTD KINGD 464286699 3,359 183,870 SH SOLE 1 183870 IShares MSCI EAFE Index 464287465 25,293 428,838 SH SOLE 2 428838 ISHARES MSCI EAFE INDEX FUND MSCI EAFE Index 464287465 7,160 121,400 SH SOLE 1 121400 ISHARES MSCI FRANCE INDEX FUND MSCI France Index 464286707 3,520 151,650 SH SOLE 1 151650 ISHARES MSCI GERMANY INDEX MSCI Germany Index 464286806 673 27,500 SH SOLE 1 27500 ISHARES MSCI JAPAN FUND MSCI Japan Index 464286848 7,765 718,956 SH SOLE 1 718956 ISHARES MSCI MEXICO INVESTABLE MARKET INDEX FUND MSCI Mexico 464286822 1,509 20,225 SH SOLE 1 20225 ISHARES MSCI UNITED KINGDOM INDEX FUND MSCI United Kingdom 464286699 2,706 148,100 SH SOLE 1 148100 Johnson & Johnson COM 478160104 3,691 45,275 SH SOLE 1 45275 JP Morgan Chase & Co COM 46625H100 2,831 59,643 SH SOLE 2 59643 Kayne Anderson ETR Fund Inc PFD 48660P2#0 17,040 600,000 SH SOLE 1 600000 Kayne Anderson Midstream Enrgy PFD 48661E2*8 17,340 600,000 SH SOLE 1 600000 Kayne Anderson MLP Investment PFD 4866062#2 17,100 600,000 SH SOLE 1 600000 Kayne Anderson MLP Investment PFD 4866064#0 13,068 440,000 SH SOLE 1 440000 Kimberly-Clark Corp COM 494368103 6,566 67,017 SH SOLE 1 67017 Kimberly-Clark Corp COM 494368103 1,564 15,966 SH SOLE 2 15966 Kohls Corp COM 500255104 1,384 29,994 SH SOLE 2 29994 Kraft Foods Group Inc COM 50076Q106 691 13,418 SH SOLE 1 13418 Lear Corporation CALL 521865113 0 1,957 SH SOLE 1 1957 Lear Corporation COM NEW 521865204 961 17,522 SH SOLE 1 17522 Legg Mason Inc COM 524901105 4,775 148,519 SH SOLE 1 148519 Legg Mason Inc COM 524901105 1,687 52,460 SH SOLE 2 52460 Lloyds Banking Group Plc COM 539439AC3 1,314 1,460,000 SH SOLE 1 1460000 Lockheed Martin Corp COM 539830109 3,803 39,401 SH SOLE 1 39401 Lockheed Martin Corp COM 539830109 1,347 13,959 SH SOLE 2 13959 McDonald's Corp COM 580135101 3,250 32,602 SH SOLE 1 32602 Merck & Co Inc COM 58933Y105 6,480 146,515 SH SOLE 1 146515 Merck & Co Inc COM 58933Y105 1,622 36,675 SH SOLE 2 36675 Merge Healthcare Inc COM 589499102 2,861 989,930 SH SOLE 1 989930 Merge Healthcare Inc COM 589499102 730 252,733 SH SOLE 2 252733 Metlife Inc COM 59156R108 3,741 98,384 SH SOLE 1 98384 Microsoft Corp COM 594918104 1,511 52,807 SH SOLE 1 52807 Mondelez International Inc CL A 609207105 1,232 40,255 SH SOLE 1 40255 Morgan Stanley COM NEW 617446448 3,203 145,739 SH SOLE 1 145739 Morgan Stanley COM NEW 617446448 1,061 48,290 SH SOLE 2 48290 Mosaic Holdings Inc COM 61945C103 8,237 138,175 SH SOLE 1 138175 Mosaic Holdings Inc COM 61945C103 2,025 33,969 SH SOLE 2 33969 MRV Communications Inc COM 553477407 158 15,182 SH SOLE 2 15182 MRV Communications Inc COM 553477407 2,601 250,137 SH SOLE 1 250137 Neuberger Berman Real Estate PFD 64190A2#9 27,106 1,000 SH SOLE 1 1000 Occidental Petroleum Corp COM 674599105 3,517 44,872 SH SOLE 1 44872 Occidental Petroleum Corp COM 674599105 1,240 15,824 SH SOLE 2 15824 Palo Alto Networks Inc COM 697435105 13,887 245,347 SH SOLE 1 245347 Palo Alto Networks Inc COM 697435105 5,241 92,597 SH SOLE 2 92597 Pep-Boys Manny Moe & Jack COM 713278109 4,925 417,710 SH SOLE 1 417710 Pep-Boys Manny Moe & Jack COM 713278109 1,733 146,987 SH SOLE 2 146987 Pepsico Inc COM 713448108 6,533 82,585 SH SOLE 1 82585 Pepsico Inc COM 713448108 1,607 20,310 SH SOLE 2 20310 Pfizer Inc COM 717081103 9,246 320,365 SH SOLE 1 320365 Pfizer Inc COM 717081103 1,344 46,581 SH SOLE 2 46581 Philip Morris International COM 718172109 4,584 49,441 SH SOLE 1 49441 Philip Morris International COM 718172109 1,615 17,422 SH SOLE 2 17422 PNC Financial Services Group COM 693475105 5,563 83,657 SH SOLE 1 83657 POWERSHARES QQQ UNIT SER 1 73935A104 29,105 422,000 SH SOLE 1 422000 Procter & Gamble Co COM 742718109 10,546 136,857 SH SOLE 1 136857 Procter & Gamble Co COM 742718109 2,361 30,641 SH SOLE 2 30641 Prudential Financial Inc COM 744320102 3,678 62,354 SH SOLE 1 62354 Raytheon Company COM NEW 755111507 3,863 65,705 SH SOLE 1 65705 Raytheon Company COM NEW 755111507 1,369 23,278 SH SOLE 2 23278 Resolute Forest Products COM B87SJM7 46 2,841 SH SOLE 1 2841 Riverbed Technology Inc COM 768573107 6,643 445,526 SH SOLE 1 445526 Riverbed Technology Inc COM 768573107 2,380 159,641 SH SOLE 2 159641 Silicon Graphics International COM 82706L108 11,978 871,123 SH SOLE 1 871123 Silicon Graphics International COM 82706L108 4,366 317,493 SH SOLE 2 317493 SILICON GRAPHICS INTERNATIONAL CORP COM 82706L108 12,932 940,500 SH SOLE 1 940500 Sourcefire Inc COM 83616T108 12,287 207,439 SH SOLE 1 207439 SPDR S&P 500 ETF TRUST TR UNIT 78462F103 300,521 1,949,149 SH SOLE 1 1949149 Splunk Inc COM 848637104 5,334 133,246 SH SOLE 1 133246 Splunk Inc COM 848637104 1,827 45,636 SH SOLE 2 45636 State Street Corp COM 857477103 5,288 89,490 SH SOLE 1 89490 State Street Corp COM 857477103 1,602 27,104 SH SOLE 2 27104 Talisman Energy Inc COM 87425E103 4,020 328,200 SH SOLE 1 328200 Talisman Energy Inc COM 87425E103 1,393 113,700 SH SOLE 2 113700 Target Corporation COM 87612E106 4,706 68,750 SH SOLE 1 68750 Target Corporation COM 87612E106 1,588 23,194 SH SOLE 2 23194 Travelers Cos Inc COM 89417E109 7,316 86,900 SH SOLE 1 86900 Travelers Cos Inc COM 89417E109 2,092 24,845 SH SOLE 2 24845 United Technologies Corp COM 913017109 7,700 82,415 SH SOLE 1 82415 United Technologies Corp COM 913017109 1,587 16,988 SH SOLE 2 16988 US Bancorp COM NEW 902973304 7,026 207,074 SH SOLE 1 207074 US Bancorp COM NEW 902973304 1,673 49,307 SH SOLE 2 49307 Valero Energy Corp COM 91913Y100 6,649 146,163 SH SOLE 1 146163 Vanguard REIT ETF COM 922908553 73,817 1,046,600 SH SOLE 1 1046600 Vanguard REIT ETF COM 922908553 11,829 167,710 SH SOLE 2 167710 Vasco Data Security Intl Inc COM 92230Y104 4,624 547,840 SH SOLE 1 547840 Vasco Data Security Intl Inc COM 92230Y104 1,799 213,102 SH SOLE 2 213102 Verizon Communications Inc COM 92343V104 7,976 162,281 SH SOLE 1 162281 Verizon Communications Inc COM 92343V104 1,720 35,000 SH SOLE 2 35000 Vicor Corp COM 925815102 857 172,405 SH SOLE 2 172405 VICOR CORPORATION COM 925815102 2,719 547,164 SH SOLE 1 547164 VM Ware Inc COM 928563402 7,446 94,397 SH SOLE 1 94397 VM Ware Inc COM 928563402 1,299 16,469 SH SOLE 2 16469 Wachovia Capital Trust III CALL 92978AAA0 16,056 16,000,000 SH SOLE 1 16000000 Wachovia Capital Trust III CALL 92978AAA0 1,004 1,000,000 SH SOLE 1 1000000 Wal-Mart Stores Inc COM 931142103 1,712 22,876 SH SOLE 1 22876 Walt Disney Co COM 254687106 3,139 55,272 SH SOLE 1 55272 Walt Disney Co COM 254687106 1,059 18,648 SH SOLE 2 18648 Wells Fargo & Co COM 949746101 3,575 96,635 SH SOLE 2 96635 Wet Seal Inc CL A 961840105 1,973 653,453 SH SOLE 1 653453 Wet Seal Inc CL A 961840105 673 222,943 SH SOLE 2 222943 XL Group Plc CALL 98372PAJ7 385 394,000 SH SOLE 1 394000 1,320,862