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NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC.
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(Name of Issuer)
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Series A Mandatory Redeemable Preferred Stock
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(Title of Class of Securities)
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64190A2#9
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(CUSIP Number)
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December 31, 2015
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(Date of Event Which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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☑
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Rule 13d-1(b)
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Rule 13d-1(c)
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Rule 13d-1(d)
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_______________
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CUSIP No. 64190A2#9
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13G
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Page 2 of 5 Pages
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1
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NAMES OF REPORTING PERSONS
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Sun Life Financial Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Canada
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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200
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6
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SHARED VOTING POWER
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0
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7
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SOLE DISPOSITIVE POWER
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200
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8
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SHARED DISPOSITIVE POWER
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0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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200
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
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20%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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HC
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CUSIP No. 64190A2#9
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13G
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Page 3 of 5 Pages
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Item 1(a).
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Name of Issuer:
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Neuberger Berman Real Estate Securities Income Fund Inc.
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Item 1(b).
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Address of Issuer's Principal Executive Offices:
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605 Third Avenue, 2nd Floor
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| New York, New York 10158 | ||
| USA | ||
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Item 2(a).
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Name of Person Filing:
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| Sun Life Financial Inc. | ||
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Item 2(b).
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Address of Principal Business Office, or, if None, Residence:
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| 150 King Street West | ||
| Toronto, Ontario, Canada M5H 1J9 | ||
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Item 2(c).
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Citizenship:
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| Canada | ||
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Item 2(d).
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Title of Class of Securities:
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Series A Mandatory Redeemable Preferred Stock
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Item 2(e).
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CUSIP Number:
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64190A2#9
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
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(f)
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An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
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(g)
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
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(h)
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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A non-U.S. institution in accordance with § 240.240.13d-1(b)(1)(ii)(J); | |
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(k)
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
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| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: __________ | |||
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CUSIP No. 64190A2#9
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13G
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Page 4 of 5 Pages
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Item 4.
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Ownership. |
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The percentages used herein are calculated based upon the shares issued and outstanding as of October 31, 2015 as reported on the Form N-CSR filed with the Securities and Exchange Commission for the Period ended October 31, 2015.
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(a)
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Amount beneficially owned: 200
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(b)
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Percent of class: 20%
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(c)
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Number of shares as to which the person has:
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(i) Sole power to vote or to direct the vote: 200
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| (ii) Shared power to vote or to direct the vote: 0 | |||||
| (iii) Sole power to dispose or to direct the disposition of: 200 | |||||
| (iv) Shared power to dispose or to direct the disposition of: 0 | |||||
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following: ☐
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not Applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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See Exhibit 99.1.
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Item 8.
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Identification and Classification of Members of the Group.
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Not Applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not Applicable.
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Item 10.
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Certifications.
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
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CUSIP No. 64190A2#9
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13G
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Page 5 of 5 Pages
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| Date: February 16, 2016 | |||
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By:
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/s/ John T. Donnelly
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Title:
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Authorized Signatory
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By:
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/s/ Stephen Peacher
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Title:
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Authorized Signatory
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