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