-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Tn/Zn5PgbJBMC9deH9TDi/JAxssVFKnKe4HMwzrASwbkYYSCVscvaIH7p5zC7SPh vbxxy/TL4dOEjpZFacHyRA== 0001104659-09-032560.txt : 20090514 0001104659-09-032560.hdr.sgml : 20090514 20090514170407 ACCESSION NUMBER: 0001104659-09-032560 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 GROUP MEMBERS: DAVID H. BATCHELDER GROUP MEMBERS: RALPH V. WHITWORTH GROUP MEMBERS: RELATIONAL COAST PARTNERS, L.P. GROUP MEMBERS: RELATIONAL FUND PARTNERS, L.P. GROUP MEMBERS: RELATIONAL INVESTORS ALPHA FUND I, L.P. GROUP MEMBERS: RELATIONAL INVESTORS III, L.P. GROUP MEMBERS: RELATIONAL INVESTORS IX, L.P. GROUP MEMBERS: RELATIONAL INVESTORS VIII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS X, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XV, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XVI, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XX, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XXII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XXIII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS, L.P. GROUP MEMBERS: RELATIONAL PARTNERS, L.P. GROUP MEMBERS: RH FUND 1, L.P. GROUP MEMBERS: RH FUND 4, L.P. GROUP MEMBERS: RH FUND 6, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Unum Group CENTRAL INDEX KEY: 0000005513 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 621598430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44427 FILM NUMBER: 09827612 BUSINESS ADDRESS: STREET 1: 1 FOUNTAIN SQUARE CITY: CHATTANOOGA STATE: TN ZIP: 37402 BUSINESS PHONE: 4232944350 MAIL ADDRESS: STREET 1: 1 FOUNTAIN SQUARE CITY: CHATTANOOGA STATE: TN ZIP: 37402 FORMER COMPANY: FORMER CONFORMED NAME: UNUMPROVIDENT CORP DATE OF NAME CHANGE: 19990702 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT COMPANIES INC /DE/ DATE OF NAME CHANGE: 19961204 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT LIFE & ACCIDENT INSURANCE CO OF AMERICA DATE OF NAME CHANGE: 19950407 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RELATIONAL INVESTORS LLC CENTRAL INDEX KEY: 0001047644 IRS NUMBER: 330694767 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858.704.3333 MAIL ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 SC 13D/A 1 a09-13299_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE
COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 4)*

 

Unum Group

(Name of Issuer)

 

Common Stock, $.10 par value

(Title of Class of Securities)

 

91529Y106

(CUSIP Number)

 

Ralph V. Whitworth

Relational Investors, LLC

12400 High Bluff Drive, Suite 600

San Diego, CA 92130

(858) 704-3333

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

May 12, 2009

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

CUSIP No.   91529Y106

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors, LLC

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
27,500,000

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
27,500,000

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
27,500,000

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
8.30%

 

 

14.

Type of Reporting Person (See Instructions)
IA/HC/OO

 

2



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
4,724,852

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
4,724,852

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,724,852

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.43%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

3



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Fund Partners, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
107,380

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
107,380

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
107,380

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.03%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

4



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Coast Partners, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
235,509

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
235,509

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
235,509

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.07%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

5



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Partners, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
117,156

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
117,156

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
117,156

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.04%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

6



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 1, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
2,262,005

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
2,262,005

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,262,005

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.68%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

7



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 4, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
868,523

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
868,523

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
868,523

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.26%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

8



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 6, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,111,949

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
1,111,949

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,111,949

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.34%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

9



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors III, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
63,081

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
63,081

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
63,081

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.02%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

10



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors VIII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
4,264,660

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
4,264,660

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,264,660

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.29%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

11



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors IX, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,318,460

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
1,318,460

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,318,460

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.40%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

12



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors X, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,585,758

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
1,585,758

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,585,758

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.48%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

13



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XV, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
606,627

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
606,627

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
606,627

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.18%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

14



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XVI, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
444,922

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
444,922

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
444,922

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.13%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

15



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XX, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
446,472

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
446,472

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
446,472

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.13%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

16



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XXII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
939,006

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
939,006

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
939,006

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.28%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

17



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XXIII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
532,145

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
532,145

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
532,145

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.16%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

18



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors Alpha Fund I, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,217,092

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
1,217,092

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,217,092

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.37%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

19



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Ralph V. Whitworth

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
NA

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
-0-

 

8.

Shared Voting Power
27,500,000

 

9.

Sole Dispositive Power
-0-

 

10.

Shared Dispositive Power
27,500,000

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
27,500,000

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
8.30%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

20



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
David H. Batchelder

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
NA

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
-0-

 

8.

Shared Voting Power
27,500,000

 

9.

Sole Dispositive Power
-0-

 

10.

Shared Dispositive Power
27,500,000

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
27,500,000

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
8.30%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

21



 

Item 1.

Security and Issuer

This Schedule 13D/A constitutes the fourth amendment to the Schedule 13D originally filed by the Reporting Persons with the Securities and Exchange Commission (the “SEC”) on March 9, 2007 (the “Statement”) and amended by Amendment No. 1, No. 2 and No. 3 filed by the Reporting Persons with the SEC on March 30, 2007, May 30, 2007 and July 26, 2007 (the “Amendments”) with respect to the common stock, $.10 par value (the “Shares”), of Unum Group, a Delaware corporation (the “Issuer” or the “Company”).  Except as specifically amended by this Schedule 13D/A, the Statement remains in full force and effect.

Item 2.

Identity and Background

This Statement is being filed by and on behalf of Relational Investors, L.P. (“RILP”), Relational Fund Partners, L.P. (“RFP”), Relational Coast Partners, L.P. (“RCP”), Relational Partners, L.P. (“RP”), RH Fund 1, L.P. (“RH1”), RH Fund 4, L.P. (“RH4”), RH Fund 6, L.P. (“RH6”), Relational Investors III, L.P. (“RI III”), Relational Investors VIII, L.P. (“RI VIII”), Relational Investors IX, L.P. (“RI IX”), Relational Investors X, L.P. (“RI X”), Relational Investors XV, L.P. (“RI XV”), Relational Investors XVI, L.P. (“RI XVI”), Relational Investors XX, L.P. (“RI XX”), Relational Investors XXII, L.P. (“RI XXII”), Relational Investors XXIII, L.P. (“RI XXIII”) and Relational Investors Alpha Fund I, L.P. (“RIA 1”), collectively, the “Relational LPs.”  Each of the Relational LPs is a Delaware limited partnership.  The principal business of each,  is investing in securities.

This Statement is also being filed by and on behalf of Relational Investors, LLC (“RILLC”), a Delaware limited liability company.  The principal business of RILLC is being the sole general partner, or the sole managing member of the general partner, of the Relational LPs and investment adviser of certain client managed accounts, the “Managed Accounts.”  The Relational LPs and the Managed Accounts are the beneficial owners of the securities covered by this Statement.  Pursuant to the Limited Partnership Agreement of each of the Relational LPs and the investment management agreement of the Managed Accounts, RILLC has sole investment discretion and voting authority with respect to the securities covered by this Statement.

This Statement is also being filed by and on behalf of Ralph V. Whitworth and David H. Batchelder.  Messrs. Whitworth and Batchelder are the Principals of RILLC, in which capacity they share voting control and dispositive power over the securities covered by this Statement.  Messrs. Whitworth and Batchelder, therefore, may be deemed to have shared indirect beneficial ownership of such securities.  The present principal occupation of each of Messrs. Whitworth and Batchelder is serving as Principals of RILLC (Messrs. Whitworth and Batchelder, together with Relational LPs and RILLC, hereinafter, the “Reporting Persons”).

During the last five years, none of the Reporting Persons has been (i) convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, and as a result of such proceeding, was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

The business address of each of the Reporting Persons is 12400 High Bluff Drive, Suite 600, San Diego, CA 92130.

Messrs. Whitworth and Batchelder are citizens of the United States.

 

22



 

Item 3.

Source and Amount of Funds or Other Consideration

Item 3 of the Statement is hereby amended and restated as follows:

 

RILLC and the Managed Accounts hold an aggregate of 6,654,403 Shares for a total consideration (including brokerage commissions) of $126 million derived from capital of the Managed Accounts.

The Relational LPs hold an aggregate of 20,845,597 Shares for total consideration (including brokerage commissions) of $446 million derived from the capital of the Relational LPs and margin borrowings from CSSU for RFP, RCP, RH1, RI XX and RI XXIII.

Interest on the margin debt balance of the margin accounts described above is charged at the then Federal Funds Rate plus 50 basis points.  CSSU has a lien on the Shares held by certain Managed Accounts and those held by RFP, RCP, RH1, RI XX and RI XXIII to secure repayment of the margin borrowings described above.

 

23



 

Item 5.

Interest in Securities of the Issuer

Item 5 of the Statement is hereby amended and restated as follows:

 

(a)           As of the date of this Statement, the Reporting Persons beneficially owned in the aggregate 27,500,000 Shares, constituting 8.30% of the outstanding Shares.  The percentage of Shares owned being based upon 331,274,343 Shares outstanding on April 28, 2009, as set forth in the Issuer’s Form 10-Q for the quarter ended March 31, 2009.  The Reporting Persons may be deemed to have direct beneficial ownership of the Shares as follows:

 

NAME

 

NUMBER OF SHARES

 

% OF OUTSTANDING SHARES

 

VOTING AND DISPOSITIVE POWER

 

RILLC

 

6,654,403

 

2.01

%

Sole

 

RILP

 

4,724,852

 

1.43

%

Sole

 

RFP

 

107,380

 

0.03

%

Sole

 

RCP

 

235,509

 

0.07

%

Sole

 

RP

 

117,156

 

0.04

%

Sole

 

RH1

 

2,262,005

 

0.68

%

Sole

 

RH4

 

868,523

 

0.26

%

Sole

 

RH6

 

1,111,949

 

0.34

%

Sole

 

RI III

 

63,081

 

0.02

%

Sole

 

RI VIII

 

4,264,660

 

1.29

%

Sole

 

RI IX

 

1,318,460

 

0.40

%

Sole

 

RI X

 

1,585,758

 

0.48

%

Sole

 

RI XV

 

606,627

 

0.18

%

Sole

 

RI XVI

 

444,922

 

0.13

%

Sole

 

RI XX

 

446,472

 

0.13

%

Sole

 

RI XXII

 

939,006

 

0.28

%

Sole

 

RI XXIII

 

532,145

 

0.16

%

Sole

 

RIA 1

 

1,217,692

 

0.37

%

Sole

 

 

RILLC, individually and in its capacity as an investment adviser, may be deemed to possess direct beneficial ownership of the 6,654,403 Shares that are owned by it and the Managed Accounts.  Additionally, RILLC, as the sole general partner, or sole managing member of the general partner, of each of Relational LPs may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934, as amended) the 20,845,597 Shares beneficially owned by the Relational LPs because the limited partnership agreements of the Relational LPs specify that RILLC has sole investment discretion and voting authority with respect to those Shares.

Each of Messrs. Whitworth and Batchelder, as Principals of RILLC, may be deemed to share indirect beneficial ownership of the Shares which RILLC may beneficially own.  Each of Messrs. Whitworth and Batchelder disclaims beneficial ownership of such Shares for all other purposes.

To the best of the knowledge of each of the Reporting Persons, other than as set forth above, none of the persons named in Item 2 is the beneficial owner of any Shares.

 

24



 

(b)           See item (a) above.

(c)           Information concerning transactions in the Shares by the Reporting Persons during the past 60 days and not previously reported is set forth in Exhibit A filed with this Statement.

(d)           No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares covered by this Statement, except that dividends from, and proceeds from the sale of, the Shares held by accounts managed by RILLC may be delivered to such accounts.

(e)           Not applicable.

 

 

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

 

Other than as described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Reporting Persons and any other person with respect to the securities of the Issuer.

 

Pursuant to Rule 13d-1(k)  promulgated under the Exchan ge Act, the Reporting Persons have entered into a Joint Filing Agreement attached hereto as  Exhibit  A, with  respect to the joint  filing of the  Schedule  13D and any amendment or amendments thereto.

 

The Reporting Persons have the investment discretion and voting authority over the Shares as described in Item 2.

 

The respective partnership agreements of the Relational LPs each contain provisions whereby RILLC may, after certain adjustments, receive a percentage of realized or unrealized profits, if any, derived from that partnership 46;s investments.

 

The Reporting Persons may, from time to time, enter into and dispose of cash-settled equity swaps, exchange traded or “over-the-counter” puts and calls or other similar derivative transactions with one or more counterparties that are based upon the value of shares of Common Stock, which transactions may be significant in amount. The profit, loss and/or return on such contracts may be wholly or partially dependent on the market value of the Shares, the relative value of Shares in comparison to one or more other financial instruments, indexes or securities, a basket or group of securities in which Shares may be included, or a combination of any of the foregoing.

 

 

Item 7.

Material to Be Filed as Exhibits

 

The following Exhibits are filed herewith:
Exhibit A – Information concerning transactions in the Shares affected by the Reporting Persons in the last 60 days.

 

Exhibit B – Joint Filing Agreements

 

25



 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:  May 14, 2009

RELATIONAL INVESTORS, L.P.
RELATIONAL FUND PARTNERS, L.P.
RELATIONAL COAST PARTNERS, L.P.
RELATIONAL PARTNERS, L.P.
RH FUND 1, L.P.
RH FUND 4, L.P.
RH FUND 6, L.P.
RELATIONAL INVESTORS III, L.P.
RELATIONAL INVESTORS VIII, L.P.
RELATIONAL INVESTORS IX, L.P.
RELATIONAL INVESTORS X, L.P.
RELATIONAL INVESTORS XV, L.P.
RELATIONAL INVESTORS XVI, L.P.

RELATIONAL INVESTORS XX, L.P.

RELATIONAL INVESTORS XXII, L.P.

RELATIONAL INVESTORS XXIII, L.P.

RELATIONAL INVESTORS Alpha Fund L.P.

 

By:

RELATIONAL INVESTORS, LLC

 

as general partner to each, except as the sole managing member of the general partners of Relational Investors III, L.P., Relational Investors X, L.P. and Relational Investors Alpha Fund I, L.P.

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

RELATIONAL INVESTORS, LLC

 

 

 

 

 

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

 

 

 

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth

 

 

 

 

 

 

 

 

 

 

 

/s/ David H. Batchelder

 

 

 

David H. Batchelder

 

 

 

 

26



 

EXHIBIT INDEX

 

Exhibit

 

Description

 

 

 

A.

 

Information concerning transactions in the Shares affected by Reporting Persons in the last 60 days.

 

 

 

B.

 

Joint Filing Agreement

 

27


EX-99.A 2 a09-13299_1ex99da.htm EX-99.A

Exhibit 99.A

 

Exhibit A

 

TRANSACTIONS BY REPORTING PERSONS DURING THE PAST 60 DAYS

 

Beneficial Ownership

 

Purchase or
Sale

 

Quantity

 

Transaction
Date

 

Price per Share
(including commission)

 

How Effected

 

Relational Investors III, L.P.

 

Sale

 

482

 

4/1/2009

 

$

12.33

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

120,806

 

4/1/2009

 

$

12.33

 

Open Market

 

RH Fund 7, L.P.

 

Sale

 

355,421

 

4/3/2009

 

$

13.44

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

122,008

 

5/1/2009

 

$

16.65

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

68,725

 

5/5/2009

 

$

17.68

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

32,902

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

918

 

5/5/2009

 

$

17.68

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

12,633

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors LLC

 

Sale

 

36,425

 

5/5/2009

 

$

17.68

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

16,174

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

62,032

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

19,178

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

23,066

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

8,824

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

6,472

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

6,494

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

13,658

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

7,740

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors LLC

 

Sale

 

20,694

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

1,704

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

3,082

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

343

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

663

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

114

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

767

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

17

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

17,703

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors LLC

 

Sale

 

39,672

 

5/5/2009

 

$

17.68

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

17,181

 

5/6/2009

 

$

17.85

 

Open Market

 

 



 

RH Fund 1, L.P.

 

Sale

 

8,226

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

229

 

5/6/2009

 

$

17.85

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

3,158

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors LLC

 

Sale

 

9,106

 

5/6/2009

 

$

17.85

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

4,043

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

15,508

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

4,794

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

5,766

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

2,206

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

1,618

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

1,624

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

3,415

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

1,935

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors LLC

 

Sale

 

5,173

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

426

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

771

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

86

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

166

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

29

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

192

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

4

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

4,426

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors LLC

 

Sale

 

9,918

 

5/6/2009

 

$

17.85

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

94,497

 

5/7/2009

 

$

17.62

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

45,240

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

1,262

 

5/7/2009

 

$

17.62

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

17,371

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors LLC

 

Sale

 

50,084

 

5/7/2009

 

$

17.62

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

22,239

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

85,293

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

26,369

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

31,715

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

12,133

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

8,899

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

8,930

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

18,780

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

10,643

 

5/7/2009

 

$

17.62

 

Open Market

 

 



 

Relational Investors LLC

 

Sale

 

28,454

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

2,343

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

4,238

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

472

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

912

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

157

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,055

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

23

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

24,342

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors LLC

 

Sale

 

54,549

 

5/7/2009

 

$

17.62

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

94,497

 

5/8/2009

 

$

18.10

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

45,240

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

1,262

 

5/8/2009

 

$

18.10

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

17,371

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors LLC

 

Sale

 

50,084

 

5/8/2009

 

$

18.10

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

22,239

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

85,293

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

26,369

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

31,715

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

12,133

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

8,899

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

8,930

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

18,780

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

10,643

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors LLC

 

Sale

 

28,454

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

2,343

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

4,238

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

472

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

912

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

157

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,055

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

23

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

24,342

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors LLC

 

Sale

 

54,549

 

5/8/2009

 

$

18.10

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

51,543

 

5/11/2009

 

$

17.58

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

24,677

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

688

 

5/11/2009

 

$

17.58

 

Open Market

 

 



 

RH Fund 4, L.P.

 

Sale

 

9,475

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors LLC

 

Sale

 

27,319

 

5/11/2009

 

$

17.58

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

12,130

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

46,524

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

14,383

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

17,299

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

6,618

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

4,854

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

4,871

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

10,244

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

5,805

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors LLC

 

Sale

 

15,520

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

1,278

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

2,312

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

257

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

498

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

86

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

575

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

13

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

13,277

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors LLC

 

Sale

 

29,754

 

5/11/2009

 

$

17.58

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

128,863

 

5/12/2009

 

$

16.98

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

61,691

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

1,720

 

5/12/2009

 

$

16.98

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

23,687

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors LLC

 

Sale

 

68,297

 

5/12/2009

 

$

16.98

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

30,326

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

116,309

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

35,958

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

43,248

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

16,544

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

12,134

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

12,177

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

25,609

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

14,513

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors LLC

 

Sale

 

38,800

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

3,195

 

5/12/2009

 

$

16.98

 

Open Market

 

 



 

Relational Coast Partners, L.P.

 

Sale

 

5,779

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

644

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,244

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

214

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,438

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

32

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

33,194

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors LLC

 

Sale

 

74,384

 

5/12/2009

 

$

16.98

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

115,114

 

5/13/2009

 

$

16.28

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

55,111

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

1,537

 

5/13/2009

 

$

16.28

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

21,160

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors LLC

 

Sale

 

61,012

 

5/13/2009

 

$

16.28

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

27,091

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

103,903

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

32,123

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

38,635

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

14,780

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

10,840

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

10,878

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

22,878

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

12,965

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors LLC

 

Sale

 

34,662

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

2,854

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

5,163

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

575

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,111

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

192

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,285

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

28

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

29,653

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors LLC

 

Sale

 

66,450

 

5/13/2009

 

$

16.28

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

84,463

 

5/14/2009

 

$

16.65

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

40,436

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

1,128

 

5/14/2009

 

$

16.65

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

15,526

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors LLC

 

Sale

 

44,766

 

5/14/2009

 

$

16.65

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

19,878

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

76,236

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

23,569

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

28,348

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

10,844

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

7,954

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

7,981

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

16,786

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

9,513

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors LLC

 

Sale

 

25,432

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

2,094

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

3,788

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

422

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

815

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

141

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

943

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

21

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

21,757

 

5/14/2009

 

$

16.65

 

Open Market

 

Relational Investors LLC

 

Sale

 

48,756

 

5/14/2009

 

$

16.65

 

Open Market

 

 


EX-99.B 3 a09-13299_1ex99db.htm EX-99.B

Exhibit 99.B

 

Exhibit B

 

JOINT FILING AGREEMENT

 

In accordance with Rule 13d-l(k) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, $.10 par value, of Unum Group and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filing.  In evidence thereof, the undersigned hereby execute this Agreement this 14th day of May, 2009.

 

RELATIONAL INVESTORS, L.P.

RELATIONAL FUND PARTNERS, L.P.

RELATIONAL COAST PARTNERS, L.P.

RELATIONAL PARTNERS, L.P.

RH FUND 1, L.P.

RH FUND 4, L.P.

RH FUND 6, L.P.

RELATIONAL INVESTORS III, L.P.

RELATIONAL INVESTORS VIII, L.P.

RELATIONAL INVESTORS IX, L.P.

RELATIONAL INVESTORS X, L.P.

RELATIONAL INVESTORS XV, L.P.

RELATIONAL INVESTORS XVI, L.P.

RELATIONAL INVESTORS XX, L.P.

RELATIONAL INVESTORS XXII, L.P.

RELATIONAL INVESTORS XXIII, L.P.

RELATIONAL INVESTORS ALPHA FUND I, L.P.

 

By:

RELATIONAL INVESTORS, LLC

 

as general partner to each, except as the sole managing member of the general partners of Relational Investors III, L.P., Relational Investors X, L.P. and Relational Investors Alpha Fund I, L.P.

 

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

 

RELATIONAL INVESTORS, LLC

 

 

 

 

 

 

 

 

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

 

 

 

 

 

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth

 

 

 

 

 

 

 

/s/ David H. Batchelder

 

 

 

David H. Batchelder

 

 

 

 


-----END PRIVACY-ENHANCED MESSAGE-----