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) 02/19/2016 | ||||||||||||||||||||||||||
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 | 02/19/2016 | F | 253(1) | D | $27.52 | 230,135(2)(3) | D | |||
Common Stock | 02/19/2016 | M | 134.792 | A | $0 | 230,270(4) | D | |||
Common Stock | 02/19/2016 | D | 134.792 | D | $27.52 | 230,135(2) | D | |||
Common Stock | 02/19/2016 | M | 202.017 | A | $0 | 230,337(5) | D | |||
Common Stock | 02/19/2016 | D | 202.017 | D | $27.52 | 230,135(2) | D | |||
Common Stock | 02/19/2016 | M | 300.426 | A | $0 | 230,436(6) | D | |||
Common Stock | 02/19/2016 | D | 300.426 | D | $27.52 | 230,135(2) | D | |||
Common Stock | 13,959.495 | I | By 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 | ||||||||
Restricted Stock Units | (7) | 02/19/2016 | M | 134.792(8) | (9) | (9) | Common Stock | 134.792(8) | $0 | 0 | D | ||||
Restricted Stock Units | (7) | 02/19/2016 | M | 202.017(10) | (11) | (11) | Common Stock | 202.017(10) | $0 | 0 | D | ||||
Restricted Stock Units | (7) | 02/19/2016 | M | 300.426(12) | (13) | (13) | Common Stock | 300.426(12) | $0 | 0 | D |
Explanation of Responses: |
1. Shares withheld to satisfy tax withholding obligation applicable to the vesting of 637.235 stock-settled RSUs (as defined in footnote (2) below). |
2. Includes 4,075 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 226,060 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
3. Beneficial ownership amount accounts for the exempt acquisition of an aggregate of 664.449 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4. |
4. Includes 4,075 stock-settled RSUs and 226,195 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
5. Includes 4,075 stock-settled RSUs and 226,262 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
6. Includes 4,075 stock-settled RSUs and 226,360 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
7. The restricted stock units may be settled solely in cash ("cash-settled RSUs"). Each cash-settled RSU is the economic equivalent of one share of common stock of the issuer. |
8. Represents the remaining balance of the cash-settled RSUs granted on February 21, 2013 (the "2013 cash-settled RSUs"), all of which were acquired pursuant to the reinvestment of dividends on February 19, 2016 and are being settled as a result of the reporting person's retirement as an officer of the company. |
9. The 2013 cash-settled RSUs vest in three equal annual installments beginning on February 21, 2014. Vested units are to be settled within 30 days after the vesting date. |
10. Represents the remaining balance of the cash-settled RSUs granted on February 25, 2014 (the "2014 cash-settled RSUs"), all of which were acquired pursuant to the reinvestment of dividends on February 19, 2016 and are being settled as a result of the reporting person's retirement as an officer of the company. |
11. The 2014 cash-settled RSUs vest in three equal annual installments beginning on February 25, 2015. Vested units are to be settled within 30 days after the vesting date. |
12. Represents the remaining balance of the cash-settled RSUs granted on February 24, 2015 (the "2015 cash-settled RSUs"), all of which were acquired pursuant to the reinvestment of dividends on February 19, 2016 and are being settled as a result of the reporting person's retirement as an officer of the company. |
13. The 2015 cash-settled RSUs vest in three equal annual installments beginning on February 24, 2016. Vested units are to be settled within 30 days after the vesting date. |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 02/23/2016 | |
** 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. |