FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Unum Group [ UNM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/25/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/25/2013 | M(1) | 5,863 | A | $23.74 | 182,856(2)(3) | D | |||
Common Stock | 11/25/2013 | M(1) | 5,605 | A | $20.78 | 188,461(4) | D | |||
Common Stock | 11/25/2013 | M(1) | 5,691 | A | $26.29 | 194,152(5) | D | |||
Common Stock | 11/25/2013 | M(1) | 5,949 | A | $23.35 | 200,101(6) | D | |||
Common Stock | 11/25/2013 | S(1) | 23,108 | D | $34.0037(7) | 176,993(8) | D | |||
Common Stock | 11/26/2013 | M(1) | 2,000 | A | $23.74 | 178,993(9) | D | |||
Common Stock | 11/26/2013 | M(1) | 2,000 | A | $20.78 | 180,993(10) | D | |||
Common Stock | 11/26/2013 | M(1) | 2,200 | A | $26.29 | 183,193(11) | D | |||
Common Stock | 11/26/2013 | M(1) | 2,200 | A | $23.35 | 185,393(12) | D | |||
Common Stock | 11/26/2013 | S(1) | 8,400 | D | $34.0132(13) | 176,993(8) | D | |||
Common Stock | 1,856.36 | I | By N-Q 401(k) Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $23.74 | 11/25/2013 | M(1) | 5,863 | (14) | 02/21/2016 | Common Stock | 5,863 | $0 | 47,106 | D | ||||
Employee Stock Option (right to buy) | $20.78 | 11/25/2013 | M(1) | 5,605 | (15) | 02/25/2018 | Common Stock | 5,605 | $0 | 26,622 | D | ||||
Employee Stock Option (right to buy) | $26.29 | 11/25/2013 | M(1) | 5,691 | (16) | 02/22/2019 | Common Stock | 5,691 | $0 | 18,919 | D | ||||
Employee Stock Option (right to buy) | $23.35 | 11/25/2013 | M(1) | 5,949 | (17) | 02/21/2020 | Common Stock | 5,949 | $0 | 25,454 | D | ||||
Employee Stock Option (right to buy) | $23.74 | 11/26/2013 | M(1) | 2,000 | (14) | 02/21/2016 | Common Stock | 2,000 | $0 | 45,106 | D | ||||
Employee Stock Option (right to buy) | $20.78 | 11/26/2013 | M(1) | 2,000 | (15) | 02/25/2018 | Common Stock | 2,000 | $0 | 24,622 | D | ||||
Employee Stock Option (right to buy) | $26.29 | 11/26/2013 | M(1) | 2,200 | (16) | 02/22/2019 | Common Stock | 2,200 | $0 | 16,719 | D | ||||
Employee Stock Option (right to buy) | $23.35 | 11/26/2013 | M(1) | 2,200 | (17) | 02/21/2020 | Common Stock | 2,200 | $0 | 23,254 | D |
Explanation of Responses: |
1. The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2013. |
2. Includes 84,727 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 98,129 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
3. Beneficial ownership amount accounts for the exempt acquisitions of an aggregate of 850.056 shares of common stock and 778.319 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4. |
4. Includes 84,727 stock-settled RSUs, and 103,734 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
5. Includes 84,727 stock-settled RSUs, and 109,425 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
6. Includes 84,727 stock-settled RSUs, and 115,374 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
7. Reflects weighted average price for multiple sale transactions ranging in price from $34.00 per share to $34.02 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
8. Includes 84,727 stock-settled RSUs, and 92,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
9. Includes 84,727 stock-settled RSUs, and 94,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
10. Includes 84,727 stock-settled RSUs, and 96,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
11. Includes 84,727 stock-settled RSUs, and 98,466 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
12. Includes 84,727 stock-settled RSUs, and 100,666 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
13. Reflects weighted average price for multiple sale transactions ranging in price from $34.01 per share to $34.03 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
14. The options vest in three equal annual installments beginning on February 21, 2009. |
15. The options vest in three equal annual installments beginning on February 25, 2011. |
16. The options vest in three equal annual installments beginning on February 22, 2012. |
17. The options vest in three equal annual installments beginning on February 21, 2013. |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 11/27/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |