0001047469-12-010476.txt : 20121113 0001047469-12-010476.hdr.sgml : 20121112 20121113172625 ACCESSION NUMBER: 0001047469-12-010476 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 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: 121200005 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 a2211414z13f-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: September 30, 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 November 12, 2012 --------------------------- ------------------- ----------------- [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 --------------- ------------------------------------ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 -------------------- Form 13F Information Table Entry Total: 214 -------------------- Form 13F Information Table Value Total: US $1,907,161 -------------------- (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 ----- ----------------- ------------------------------------ FORM 13F INFORMATION TABLE - September 30, 2012
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- ------------- -------------------- ----------- ---------- -------------------- VOTING AUTHORITY -------------------- VALUE SHRS INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (000'S) OR PRN AMT SHR/PRN DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- ------------- ------------ ------- ----------- ---------- ---- ---------- ---- 3M CO COM 88579Y101 5,782 62,560 SH SHARED 1 62,560 3M CO COM 88579Y101 1,484 16,060 SH SHARED 2 16,060 Abbott Laboratories COM 002824100 1,714 25,000 SH SHARED 1 25,000 Acme Packet Inc COM 004764106 8,022 469,098 SH SHARED 1 469,098 Acme Packet Inc COM 004764106 2,900 169,602 SH SHARED 2 169,602 Actuate Corp COM 00508B102 2,028 288,462 SH SHARED 1 288,462 Actuate Corp COM 00508B102 775 110,191 SH SHARED 2 110,191 Aeropostale Inc COM 007865108 5,647 417,332 SH SHARED 1 417,332 Aeropostale Inc COM 007865108 1,204 88,969 SH SHARED 2 88,969 AES Corporation COM 00130H105 3,266 297,733 SH SHARED 1 297,733 AES Corporation COM 00130H105 1,171 106,744 SH SHARED 2 106,744 Akamai Technologies Inc COM 00971T101 16,099 420,789 SH SHARED 1 420,789 Akamai Technologies Inc COM 00971T101 6,050 158,141 SH SHARED 2 158,141 American Express Company COM 025816109 4,559 80,187 SH SHARED 1 80,187 American International Group COM 026874784 6,344 193,475 SH SHARED 1 193,475 Amgen Inc COM 031162100 5,466 64,851 SH SHARED 1 64,851 Amgen Inc COM 031162100 2,107 25,000 SH SHARED 2 25,000 Apple Inc COM 037833100 4,539 6,804 SH SHARED 1 6,804 Apple Inc COM 037833100 1,717 2,574 SH SHARED 2 2,574 Archer Daniels Midland COM 039483102 4,287 157,715 SH SHARED 1 157,715 AT&T Inc COM 00206R102 7,430 197,094 SH SHARED 1 197,094 AT&T Inc COM 00206R102 2,634 69,864 SH SHARED 2 69,864 Bank of America Corp COM 060505104 1,740 197,061 SH SHARED 2 197,061 Barclays Bank Plc COM 06738C828 48,560 54,200,000 SH SHARED 1 54,200,000 Barclays Bank Plc COM 06738C828 18,546 20,700,000 SH SHARED 1 20,700,000 Baxter International Inc COM 071813109 4,196 69,624 SH SHARED 1 69,624 Baxter International Inc COM 071813109 1,711 28,392 SH SHARED 2 28,392 BB&T Corporation COM 054937107 3,960 119,407 SH SHARED 1 119,407 BB&T Corporation COM 054937107 1,565 47,182 SH SHARED 2 47,182 Berkshire Hathaway Inc COM 084670702 4,302 48,779 SH SHARED 1 48,779 Berkshire Hathaway Inc COM 084670702 1,614 18,299 SH SHARED 2 18,299 Boeing Company COM 097023105 4,960 71,274 SH SHARED 1 71,274 Boeing Company COM 097023105 1,234 17,725 SH SHARED 2 17,725 Boston Scientific Corp COM 101137107 8,471 1,475,791 SH SHARED 1 1,475,791 Boston Scientific Corp COM 101137107 3,239 564,207 SH SHARED 2 564,207 BOSTON SCIENTIFIC CORPORATION COM 101137107 5,453 950,000 SH SHARED 1 950,000 Bristol-Myers Squibb COM 110122108 6,195 183,544 SH SHARED 1 183,544 Bristol-Myers Squibb COM 110122108 1,695 50,230 SH SHARED 2 50,230 Bunge Limited COM G16962105 4,225 63,010 SH SHARED 1 63,010 Bunge Limited COM G16962105 1,600 23,864 SH SHARED 2 23,864 Caterpillar Inc COM 149123101 1,549 18,009 SH SHARED 1 18,009 CCG Commercial Pool II Inc COM 12501RAF6 430 1,000 SH SHARED 1 1,000 Centurylink Inc COM 156700106 3,784 93,652 SH SHARED 1 93,652 Centurylink Inc COM 156700106 1,625 40,235 SH SHARED 2 40,235 Charles Schwab Corp./The COM 808513105 3,277 256,345 SH SHARED 1 256,345 Charles Schwab Corp./The COM 808513105 884 69,136 SH SHARED 2 69,136 Chevron Corp COM 166764100 11,615 99,649 SH SHARED 1 99,649 Chevron Corp COM 166764100 3,828 32,839 SH SHARED 2 32,839 Cisco Systems Inc COM 17275R102 1,795 93,996 SH SHARED 1 93,996 Citigroup Inc COM 172967424 1,137 34,742 SH SHARED 2 34,742 Clean Energy Fuels Corp COM 184499101 4,202 319,063 SH SHARED 1 319,063 Clean Energy Fuels Corp COM 184499101 1,518 115,248 SH SHARED 2 115,248 Coca-Cola Co COM 191216100 6,319 166,606 SH SHARED 1 166,606 Coca-Cola Co COM 191216100 1,703 44,897 SH SHARED 2 44,897 ConocoPhillips COM 20825C104 4,971 86,931 SH SHARED 1 86,931 ConocoPhillips COM 20825C104 1,237 21,630 SH SHARED 2 21,630 Consolidated Edison Inc COM 209115104 1,486 24,817 SH SHARED 1 24,817 Cosi Inc COM 22122P101 767 996,776 SH SHARED 1 996,776 Cosi Inc COM 22122P101 286 371,709 SH SHARED 2 371,709 CVS Caremark Corporation COM 126650100 4,443 91,758 SH SHARED 1 91,758 CVS Caremark Corporation COM 126650100 1,678 34,663 SH SHARED 2 34,663 Deckers Outdoor Corp COM 243537107 13,707 374,093 SH SHARED 1 374,093 Deckers Outdoor Corp COM 243537107 3,306 90,235 SH SHARED 2 90,235 DR Horton Inc COM 23331A109 5,222 253,191 SH SHARED 1 253,191 DR Horton Inc COM 23331A109 1,970 95,512 SH SHARED 2 95,512 Duke Energy Corp 26441C204 1,438 22,192 SH SHARED 1 22,192 EI Dupont de Nemour and Co COM 263534109 1,614 32,108 SH SHARED 1 32,108 Eli Lilly & Co COM 532457108 4,699 99,118 SH SHARED 1 99,118 Eli Lilly & Co COM 532457108 1,719 36,251 SH SHARED 2 36,251 EMC Corp COM 268648102 8,638 316,775 SH SHARED 1 316,775 EMC Corp COM 268648102 3,277 120,185 SH SHARED 2 120,185 Emerson Electric Co COM 291011104 3,871 80,185 SH SHARED 1 80,185 Emerson Electric Co COM 291011104 1,441 29,847 SH SHARED 2 29,847 EOG Resources COM 26875P101 4,205 37,526 SH SHARED 1 37,526 EOG Resources COM 26875P101 1,590 14,187 SH SHARED 2 14,187 Exelon Corporation COM 30161N101 5,737 161,256 SH SHARED 1 161,256 Exelon Corporation COM 30161N101 1,205 33,879 SH SHARED 2 33,879 Exxon Mobil Corp COM 30231G102 18,682 204,282 SH SHARED 1 204,282 Exxon Mobil Corp COM 30231G102 5,503 60,172 SH SHARED 2 60,172 Fifth Third Bancorp COM 316773100 4,389 283,075 SH SHARED 1 283,075 Forest Laboratories Inc COM 345838106 7,386 207,410 SH SHARED 1 207,410 Forest Laboratories Inc COM 345838106 2,788 78,292 SH SHARED 2 78,292 Fusion-io Inc COM 36112J107 12,397 409,542 SH SHARED 1 409,542 Fusion-io Inc COM 36112J107 4,124 136,231 SH SHARED 2 136,231 General Electric Company COM 369604103 9,373 412,718 SH SHARED 1 412,718 General Electric Company COM 369604103 3,056 134,564 SH SHARED 2 134,564 Goldman Sachs Group Inc COM 38141G104 4,500 39,584 SH SHARED 1 39,584 Goldman Sachs Group Inc COM 38141G104 1,251 11,004 SH SHARED 2 11,004 Goodyear Tire & Rubber Co COM 382550101 4,129 338,704 SH SHARED 1 338,704 Goodyear Tire & Rubber Co COM 382550101 1,544 126,661 SH SHARED 2 126,661 Google Inc-cl A COM 38259P508 10,772 14,277 SH SHARED 1 14,277 Google Inc-cl A COM 38259P508 4,183 5,544 SH SHARED 2 5,544 HALOZYME THERAPEUTICS INC COM 40637H109 3,947 523,529 SH SHARED 1 523,529 HALOZYME THERAPEUTICS INC COM 40637H109 1,411 187,142 SH SHARED 2 187,142 Hess Corp COM 42809H107 3,324 61,876 SH SHARED 1 61,876 Hess Corp COM 42809H107 1,140 21,222 SH SHARED 2 21,222 Home Depot Inc COM 437076102 1,871 31,000 SH SHARED 1 31,000 Honeywell International Inc COM 438516106 6,688 111,930 SH SHARED 1 111,930 Honeywell International Inc COM 438516106 1,610 26,947 SH SHARED 2 26,947 IBM Corp COM 459200101 1,653 7,969 SH SHARED 1 7,969 Intel Corp COM 458140100 4,883 215,516 SH SHARED 1 215,516 Intel Corp COM 458140100 1,305 57,623 SH SHARED 2 57,623 Intermec Inc COM 458786100 3,388 545,514 SH SHARED 1 545,514 INTERMEC INC COM 458786100 2,018 325,000 SH SHARED 1 325,000 Intermec Inc COM 458786100 1,279 205,986 SH SHARED 2 205,986 International Paper Co COM 460146103 11,923 328,271 SH SHARED 1 328,271 International Paper Co COM 460146103 4,144 114,102 SH SHARED 2 114,102 IShares COM 464286699 3,199 183,870 SH SHARED 1 183,870 IShares COM 464287200 170,756 1,182,518 SH SHARED 1 1,182,518 IShares COM 464287648 15,309 160,117 SH SHARED 1 160,117 IShares COM 464287655 36,460 436,965 SH SHARED 1 436,965 IShares COM 464287614 33,536 502,789 SH SHARED 1 502,789 IShares COM 464287630 32,824 443,932 SH SHARED 1 443,932 IShares COM 464287473 43,428 891,379 SH SHARED 1 891,379 IShares COM 464287465 22,728 428,838 SH SHARED 2 428,838 ISHARES MSCI EAFE INDEX FUND COM 464287465 8,089 152,625 SH SHARED 1 152,625 ISHARES MSCI FRANCE INDEX FUND COM 464286707 3,304 157,500 SH SHARED 1 157,500 ISHARES MSCI GERMANY INDEX COM 464286806 655 29,000 SH SHARED 1 29,000 ISHARES MSCI JAPAN FUND COM 464286848 7,349 801,456 SH SHARED 1 801,456 ISHARES MSCI MEXICO INVESTABLE MARKET INDEX FUND COM 464286822 1,417 21,675 SH SHARED 1 21,675 ISHARES MSCI UNITED KINGDOM INDEX FUND COM 464286699 2,719 156,300 SH SHARED 1 156,300 Johnson & Johnson COM 478160104 3,120 45,275 SH SHARED 1 45,275 JP Morgan Chase & Co COM 46625H100 2,588 63,939 SH SHARED 2 63,939 Kayne Anderson ETR Fund Inc. COM 48660P2#0 16,800 600,000 SH SHARED 1 600,000 Kayne Anderson Midstream Enrgy COM 48661E2*8 17,100 600,000 SH SHARED 1 600,000 Kayne Anderson MLP Investment COM 4866062#2 16,800 600,000 SH SHARED 1 600,000 Kayne Anderson MLP Investment COM 4866064#0 12,760 440,000 SH SHARED 1 440,000 Kimberly-Clark Corp COM 494368103 5,749 67,017 SH SHARED 1 67,017 Kimberly-Clark Corp COM 494368103 1,468 17,117 SH SHARED 2 17,117 Kohls Corp COM 500255104 4,242 82,817 SH SHARED 1 82,817 Kohls Corp COM 500255104 1,647 32,155 SH SHARED 2 32,155 Legg Mason Inc COM 524901105 3,665 148,519 SH SHARED 1 148,519 Legg Mason Inc 524901105 1,388 56,239 SHARED 2 56,239 Lloyds Banking Group PLC COM 539439AC3 1,190 1,460,000 SH SHARED 1 1,460,000 Lockheed Martin Corp COM 539830109 3,679 39,401 SH SHARED 1 39,401 Lockheed Martin Corp COM 539830109 1,397 14,964 SH SHARED 2 14,964 McDonald's Corp COM 580135101 2,991 32,602 SH SHARED 1 32,602 Merck & Co. Inc. COM 58933Y105 6,607 146,515 SH SHARED 1 146,515 Merck & Co. Inc. COM 58933Y105 1,773 39,316 SH SHARED 2 39,316 Merge Healthcare Inc COM 589499102 3,782 989,930 SH SHARED 1 989,930 Merge Healthcare Inc COM 589499102 965 252,733 SH SHARED 2 252,733 MetLife Inc COM 59156R108 3,390 98,384 SH SHARED 1 98,384 Microsoft Corp COM 594918104 1,572 52,807 SH SHARED 1 52,807 Mondelez International Inc COM 609207105 1,665 40,255 SH SHARED 1 40,255 Morgan Stanley COM 617446448 2,440 145,739 SH SHARED 1 145,739 Morgan Stanley COM 617446448 867 51,769 SH SHARED 2 51,769 Mosaic Holdings Inc COM 61945C103 7,960 138,175 SH SHARED 1 138,175 Mosaic Holdings Inc COM 61945C103 2,915 50,596 SH SHARED 2 50,596 MRV Communications Inc COM 553477100 2,701 5,002,743 SH SHARED 1 5,002,743 Mrv Communications Inc COM 553477100 164 303,648 SH SHARED 2 303,648 Neuberger Berman Real Estate COM 64190A2#9 25,000 1,000,000 SH SHARED 1 1,000,000 Occidental Petroleum Corp COM 674599105 3,862 44,872 SH SHARED 1 44,872 Occidental Petroleum Corp COM 674599105 1,460 16,964 SH SHARED 2 16,964 Oclaro Inc COM 67555N206 3,063 1,138,771 SH SHARED 1 1,138,771 Oclaro Inc COM 67555N206 1,351 502,350 SH SHARED 2 502,350 Pep-Boys Manny Moe & Jack COM 713278109 4,252 417,710 SH SHARED 1 417,710 Pep-Boys Manny Moe & Jack COM 713278109 1,604 157,575 SH SHARED 2 157,575 Pepsico Inc COM 713448108 5,845 82,585 SH SHARED 1 82,585 Pepsico Inc COM 713448108 1,541 21,773 SH SHARED 2 21,773 Pfizer Inc COM 717081103 7,961 320,365 SH SHARED 1 320,365 Pfizer Inc COM 717081103 1,241 49,937 SH SHARED 2 49,937 Philip Morris International COM 718172109 4,447 49,441 SH SHARED 1 49,441 Philip Morris International COM 718172109 1,680 18,677 SH SHARED 2 18,677 PNC Financial Services Group COM 693475105 5,279 83,657 SH SHARED 1 83,657 POWERSHARES QQQ COM 73935A104 28,662 418,000 SH SHARED 1 418,000 Procter & Gamble Co COM 742718109 9,492 136,857 SH SHARED 1 136,857 Procter & Gamble Co COM 742718109 2,278 32,848 SH SHARED 2 32,848 Prudential Financial Inc COM 744320102 3,399 62,354 SH SHARED 1 62,354 Raytheon Company COM 755111507 3,756 65,705 SH SHARED 1 65,705 Raytheon Company COM 755111507 1,426 24,954 SH SHARED 2 24,954 Riverbed Technology Inc COM 768573107 15,528 667,004 SH SHARED 1 667,004 Riverbed Technology Inc COM 768573107 5,881 252,622 SH SHARED 2 252,622 Silicon Graphics COM 82706L108 7,927 871,123 SH SHARED 1 871,123 Silicon Graphics COM 82706L108 2,889 317,493 SH SHARED 2 317,493 SILICON GRAPHICS INTERNATIONAL CORP COM 82706L108 8,559 940,500 SH SHARED 1 940,500 SPDR S&P 500 ETF Trust COM 78462F103 152,654 1,060,320 SH SHARED 1 1,060,320 SPDR S&P 500 ETF TRUST 78462F103 285,971 1,986,324 SHARED 1 1,986,324 State Street Corp COM 857477103 3,755 89,490 SH SHARED 1 89,490 State Street Corp COM 857477103 1,219 29,057 SH SHARED 2 29,057 Talisman Energy Inc COM 87425E103 4,372 328,200 SH SHARED 1 328,200 Talisman Energy Inc COM 87425E103 1,624 121,900 SH SHARED 2 121,900 Target Corporation COM 87612E106 4,364 68,750 SH SHARED 1 68,750 Target Corporation COM 87612E106 1,578 24,865 SH SHARED 2 24,865 Travelers Cos Inc COM 89417E109 5,932 86,900 SH SHARED 1 86,900 Travelers Cos Inc COM 89417E109 1,818 26,635 SH SHARED 2 26,635 United Technologies Corp COM 913017109 6,452 82,415 SH SHARED 1 82,415 United Technologies Corp COM 913017109 1,426 18,211 SH SHARED 2 18,211 US Bancorp COM 902973304 7,103 207,074 SH SHARED 1 207,074 US Bancorp COM 902973304 1,813 52,859 SH SHARED 2 52,859 Valero Energy Corp COM 91913Y100 4,630 146,163 SH SHARED 1 146,163 Valero Energy Corp COM 91913Y100 1,744 55,064 SH SHARED 2 55,064 Vanguard MSCI EAFE ETF COM 921943858 37,986 1,155,282 SH SHARED 1 1,155,282 Vanguard REIT ETF COM 922908553 67,997 1,046,600 SH SHARED 1 1,046,600 Vanguard REIT ETF COM 922908553 57,294 881,870 SH SHARED 1 881,870 Vanguard REIT ETF COM 922908553 10,896 167,710 SH SHARED 2 167,710 Vanguard Small Cap ETF COM 922908751 24,390 304,341 SH SHARED 1 304,341 Vasco Data Security Intl Inc. COM 92230Y104 5,139 547,840 SH SHARED 1 547,840 Vasco Data Security Intl Inc. COM 92230Y104 1,999 213,102 SH SHARED 2 213,102 Verizon Communications Inc COM 92343V104 7,395 162,281 SH SHARED 1 162,281 Verizon Communications Inc COM 92343V104 1,710 37,521 SH SHARED 2 37,521 Viacom Inc COM 92553P201 4,258 79,449 SH SHARED 1 79,449 Viacom Inc COM 92553P201 1,524 28,436 SH SHARED 2 28,436 Vicor Corp COM 925815102 1,758 263,604 SH SHARED 1 263,604 Vicor Corp COM 925815102 1,150 172,405 SH SHARED 2 172,405 VICOR CORPORATION COM 925815102 3,650 547,164 SH SHARED 1 547,164 VM Ware Inc COM 928563402 6,043 62,462 SH SHARED 1 62,462 VM Ware Inc COM 928563402 2,281 23,575 SH SHARED 2 23,575 Wachovia Capital Trust III COM 92978AAA0 15,820 16,000,000 SH SHARED 1 16,000,000 Wachovia Capital Trust III COM 92978AAA0 989 1,000,000 SH SHARED 1 1,000,000 Wal-Mart Stores Inc COM 931142103 1,688 22,876 SH SHARED 1 22,876 Walt Disney Co COM 254687106 2,890 55,272 SH SHARED 1 55,272 Walt Disney Co COM 254687106 1,045 19,991 SH SHARED 2 19,991 Wells Fargo & Co COM 949746101 3,577 103,596 SH SHARED 2 103,596 XL Group Plc COM 98372PAJ7 362 394,000 SH SHARED 1 394,000 1,907,161