FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/26/2012 |
3. Issuer Name and Ticker or Trading Symbol
NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC [ NRO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
4.00% Mandatory Redeemable Preferred Shares due 9/14/2017 | 520 | D | |
4.00% Mandatory Redeemable Preferred Shares due 9/14/2017 | 520 | I | Sun Life Assurance Company of Canada (U.S.) owns all of the common stock of Sun Life Insurance and(1) |
4.00% Mandatory Redeemable Preferred Shares due 9/14/2017 | 520 | I | Sun Life Financial Inc. indirectly owns all of the outstanding common stock of(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Annuity Company of New York, which owns the securities indicated. |
2. Sun Life Insurance and Annuity Company of New York which owns the securities indicated,through a series of holding companies. Sun Life Financial Inc. owns all of the common stock of Sun Life Global Investments Inc., which owns all of the common stock of Sun Life Assurance Company of Canada-U.S. Operations Holdings, Inc., which owns all of the common stock of Sun Life Financial (U.S.) Holdings, Inc.,which owns all of the membership interests of Sun Life Financial (U.S.) Investments LLC, which owns all of the common stock of Sun Life of Canada (U.S.) Holdings, Inc., which owns all of the common stock of Sun Life Assurance Company of Canada (U.S.),an operating company which owns all of the common stock of Sun Life Insurance and Annuity Company of New York, which owns the securities indicated. |
/s/ John T. Donnelly, Senior Managing Director, Investments Strategic Research and Initiatives, on behalf of Sun Life Assurance Company of Canada (U.S.) and Sun Life Insurance and Annuity Company of New York | 09/27/2012 | |
/s/ Ann C. King, Authorized Signer on behalf of Sun Life Assurance Company of Canada (U.S.) and Sun Life Insurance and Annuity Company of New York | 09/27/2012 | |
/s/ Stephen Peacher, Authorized Signer on behalf of Sun Life Financial Inc. | 09/27/2012 | |
/s/ Angelo Manioudakis, Authorized Signer on behalf of Sun Life Financial Inc. | 09/27/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |