Sun Life Financial Inc's Form 4 filing
CION Ares Diversified Credit Fund · filed Oct 4, 2021
- Accession no.
- 0001567619-21-017779
- Filed
- Oct 4, 2021, 11:21 AM ET
- Trade date
- Sep 30, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $22.0M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Sun Life Financial IncCIK 0001097362 | Other: Former 10% Owner |
| Sun Life Assurance Co of CanadaCIK 0001381352 | Other: Former 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2021 | Series B Mandatory Redeemable Preferred Shares | PPurchaseAcquired | +40,000 | $25.00 | +$1,000,000 | 40,000 | Direct | |
| Sep 30, 2021 | Series B Mandatory Redeemable Preferred Shares | PPurchaseAcquired | +40,000 | $25.00 | +$1,000,000 | 40,000 | Indirect | |
| Sep 30, 2021 | Series C Mandatory Redeemable Preferred Shares | PPurchaseAcquired | +400,000 | $25.00 | +$10,000,000 | 400,000 | Direct | |
| Sep 30, 2021 | Series C Mandatory Redeemable Preferred Shares | PPurchaseAcquired | +400,000 | $25.00 | +$10,000,000 | 400,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.