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Unum Group — Director's Dealing 2011
Mar 1, 2011
30521_dirs_2011-02-28_b6e5b842-b3f2-4a18-b952-b6eef9b293c5.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: 2011-02-24
Reporting Person: MCCARTHY KEVIN P (EVP, President & CEO, Unum US)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-24 | Common Stock | M | 14855.0 | $11.37 | Acquired | 284392.0 | Direct |
| 2011-02-24 | Common Stock | S | 14855.0 | $25.9449 | Disposed | 269537.0 | Direct |
| 2011-02-24 | Common Stock | F | 8494.0 | $26.23 | Disposed | 261043.0 | Direct |
| 2011-02-25 | Common Stock | M | 7999.0 | $11.37 | Acquired | 269042.0 | Direct |
| 2011-02-25 | Common Stock | F | 5697.0 | $26.6 | Disposed | 263345.0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-24 | Employee Stock Option (right to buy) | $11.37 | M | 14855.0 | Disposed | 2017-02-24 | Common Stock (14855.0) | Direct |
| 2011-02-25 | Employee Stock Option (right to buy) | $11.37 | M | 7999.0 | Disposed | 2017-02-24 | Common Stock (7999.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1756.442 | Indirect |
Footnotes
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 25, 2010.
F2: Includes 150,448 restricted stock units, whch may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 133,944 shares of common stock.
F3: Reflects weighted average price for multiple sale transactions ranging in price from $25.83 per share to $26.07 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.
F4: Includes 150,448 stock-settled RSUs and 119,089 shares of common stock.
F5: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 27,716.457 stock-settled RSUs.
F6: Includes 122,732 stock-settled RSUs and 138,311 shares of common stock.
F7: Includes 122,732 stock-settled RSUs and 146,310 shares of common stock.
F8: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 14,242.348 stock-settled RSUs.
F9: Includes 108,489 stock-settled RSUs and 154,856 shares of common stock.
F10: The options vest in three equal annual installments beginning on February 24, 2011.