Filing Details
- Accession Number:
- 0001020523-13-000656
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-21 14:42:13
- Reporting Period:
- 2013-07-31
- Filing Date:
- 2013-11-21
- Accepted Time:
- 2013-11-21 14:42:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1261166 | Neuberger Berman Real Estate Securities Income Fund Inc | NRO | () | 161685121 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1097362 | Sun Life Financial Inc | Sun Life Assurance Co Of Canada 150 King Street West Suite 1400 Toronto A6 M5H 1J9 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| 4.00% Mandatory Redeemable Preferred Shares Due 09/14/2017 | Disposition | 2013-08-02 | 800 | $0.00 | 200 | No | 4 | S | Indirect | See footnote. |
| 4.00% Mandatory Redeemable Preferred Shares Due 09/14/2017 | Acquisiton | 2013-07-31 | 40 | $1,060,000.00 | 840 | No | 4 | J | Indirect | See footnote. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See footnote. |
| No | 4 | J | Indirect | See footnote. |
Footnotes
- On 08/02/2103, all of the stock of Sun Life Assurance Company of Canada (U.S.) which owns all of the stock of Sun Life Insurance and Annuity Company of New York, was transferred to Delaware Life Holdings LLC. Thus, Sun Life Financial Inc. ceased to be the indirect owner of 800 shares directly owned by Sun Life Insurance and Annuity Company of New York.
- Sun Life Financial Inc. owns all of the common stock of Sun Life Assurance Company of Canada, direct owner of 160 shares and indirectly, through a series of holding companies, owns all of the common stock of Sun Life and Health Insurance Company (U.S.), direct owner of 40 shares.
- Sun Life Financial Inc. owns 100% of the common stock of Sun Life Assurance Company of Canada, direct owner of 160 shares and indirectly, through a series of holding companies, on such date owned all of the common stock of Sun Life Insurance and Annuity Company of New York, direct owner of 800 shares and 100% of the common stock of Sun Life and Health Insurance Company (U.S.), direct owner of 140 shares acquired by Sun Life Insurance and Annuity Company of New York on 07/31/2013.
- Price paid by Sun Life and Health Insurance Company (U.S.), the direct owner of 40 shares, not by Sun Life Financial Inc.
Billionaire Hedge Funds
