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SUN LIFE FINANCIAL INC (SLF)

DateNameSymbolTypeSecuritySharesPriceValueOwnershipReported
04/12/2017NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INCNROOther (disposition)Series A Mandatory Redeemable Preferred Stock40$125.00$5kBy SUN LIFE FINANCIAL INC.04/12/2017
04/12/2017NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INCNROOther (disposition)Series A Mandatory Redeemable Preferred Stock160$125.00$20kBy SUN LIFE FINANCIAL INC.04/12/2017
09/07/2016Kayne Anderson Energy Total Return Fund, Inc.KYEOther (disposition)Series A Mandatory Redeemable Preferred Stock266.7k$25.02$6.7MBy Sun Life Assurance Co of Canada09/07/2016
12/24/2015Kayne Anderson Energy Total Return Fund, Inc.KYEOther (disposition)Series A Mandatory Redeemable Preferred Shares66.7k$25.50$1.7MBy Sun Life Assurance Company of Canada12/04/2015
12/04/2015Kayne Anderson Energy Total Return Fund, Inc.KYEOther (disposition)Series A Mandatory Redeemable Preferred Shares266.7k$25.50$6.8MBy Sun Life Assurance Company of Canada12/04/2015
11/24/2015Kayne Anderson NextGen Energy & Infrastructure, Inc.KMFOther (disposition)Series A Mandatory Redeemable Preferred Shares560k$25.50$14.3MBy Sun Life Assurance Company of Canada11/24/2015
08/02/2013Tortoise Midstream Energy Fund, Inc.NTGSale4.29% Senior Notes Series D due Dec. 15, 20201000k$0.00$0By Sun Life Assurance Company of Canada08/02/2013
08/02/2013NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INCNROSale4.00% Mandatory Redeemable Preferred Shares due 09/14/2017800$0.00$0See footnote.07/31/2013
08/02/2013Kayne Anderson NextGen Energy & Infrastructure, Inc.KMFSaleSeries A Mandatory Redeemable Preferred Shares40k$0.00$0By Sun Life Assurance Company of Canada08/02/2013
08/02/2013Tortoise Midstream Energy Fund, Inc.NTGOther (disposition)2.48% Senior Notes Series A due Dec. 15, 201310M$0.00$0See footnote07/31/2013
07/31/2013Tortoise Midstream Energy Fund, Inc.NTGOther (acquisition)4.29% Senior Notes Series D due Dec. 15, 20201000k$1,079,960.00$1079960MSee footnote.07/31/2013
07/31/2013Tortoise Midstream Energy Fund, Inc.NTGOther (acquisition)4.29% Senior Notes Series D due 12/15/20201000k$1,079,960.00$1079960MSee footnote.07/31/2013
07/31/2013NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INCNROOther (acquisition)4.00% Mandatory Redeemable Preferred Shares due 09/14/201740$1,060,000.00$42.4MSee footnote.07/31/2013

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