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Unum Group — Director's Dealing 2011
Dec 13, 2011
30521_dirs_2011-12-13_b7fd70ed-de0b-49a6-8b45-883db32bf042.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Unum Group (UNM)
CIK: 0000005513
Period of Report: 2011-12-09
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-09 | Common Stock | M | 113872 | $18.00 | Acquired | 992426 | Direct |
| 2011-12-09 | Common Stock | S | 113872 | $21.4444 | Disposed | 878554 | Direct |
| 2011-12-09 | Common Stock | M | 198358 | $21.00 | Acquired | 1076912 | Direct |
| 2011-12-09 | Common Stock | S | 198358 | $21.5216 | Disposed | 878554 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-12-09 | Employee Stock Option (right to buy) | $18.00 | M | 113872 | Disposed | 2011-12-12 | Common Stock (113872) | Direct |
| 2011-12-09 | Employee Stock Option (right to buy) | $21.00 | M | 198358 | Disposed | 2011-12-12 | Common Stock (198358) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 12900.7765 | Indirect |
Footnotes
F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2011.
F2: Includes 251,015 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 741,410 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: Beneficial ownership amount accounts for the exempt acquisitions of an aggregate of 3,268.762 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4.
F4: Reflects weighted average price for multiple sale transactions ranging in price from $21.40 per share to $21.61 per share, inclusive.
F5: 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 footnotes (4) or (8) to this Form 4.
F6: Includes 251,015 stock-settled RSUs and 627,538 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: Includes 251,015 stock-settled RSUs and 825,896 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F8: Reflects weighted average price for multiple sale transactions ranging in price from $21.39 per share to $21.62 per share, inclusive.