SEC Form 4 · accession 0001140361-17-024080
NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC · NRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 12, 2017
Accepted (ET)
Jun 6, 2017 · 6:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001261166
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Mandatory Redeemable Preferred StockF2 | Apr 12, 2017 | J | 160 | $125.00 | D | 0 | I | By SUN LIFE FINANCIAL INC. |
| Series A Mandatory Redeemable Preferred StockF3 | Apr 12, 2017 | J | 40 | $125.00 | D | 0 | I | By SUN LIFE FINANCIAL INC. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 12, 2017, the issuer redeemed all outstanding shares of its Series A Mandatory Redeemable Preferred Stock.
- F2Sun Life Financial Inc. owns 100% of the outstanding shares of common stock of Sun Life Assurance Company of Canada, the direct owner of 140 shares of the Series A Mandatory Redeemable Preferred Stock of the issuer.
- F3Sun Life Financial Inc. owns 100% of the outstanding shares of common stock of Sun Life Assurance Company of Canada, which owns 100% of the outstanding shares of common stock of Sun Life and Health Insurance Company (U.S.), the direct owner of 60 shares of the Series A Mandatory Redeemable Preferred Stock of the issuer.