Sun Life Assurance Co of Canada - Sep 30, 2021 Form 4 Insider Report for CION Ares Diversified Credit Fund (CADEX)

Role
Former 10% Owner
Signature
By: /s/ Randolph B. Brown, authorized signatory on behalf of Sun Life Assurance Company of Canada and Sun Life Financial Inc.
Stock symbol
CADEX
Transactions as of
Sep 30, 2021
Transactions value $
$22,000,000
Form type
4
Date filed
10/4/2021, 11:21 AM
Previous filing
Sep 17, 2021
Next filing
Sep 29, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CADEX Series B Mandatory Redeemable Preferred Shares Purchase $1M +40K $25.00* 40K Sep 30, 2021 Direct
transaction CADEX Series B Mandatory Redeemable Preferred Shares Purchase $1M +40K $25.00* 40K Sep 30, 2021 See Footnote 1. F1
transaction CADEX Series C Mandatory Redeemable Preferred Shares Purchase $10M +400K $25.00* 400K Sep 30, 2021 Direct
transaction CADEX Series C Mandatory Redeemable Preferred Shares Purchase $10M +400K $25.00* 400K Sep 30, 2021 See Footnote 1. F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Sun Life Assurance Co of Canada is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Sun Life Financial Inc. owns 100% of the outstanding common stock of Sun Life Assurance Company of Canada, the direct owner of the shares.