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Unum Group — Director's Dealing 2012
Feb 24, 2012
30521_dirs_2012-02-23_c1a10e8b-4107-4a5a-ac3e-475b9b03667c.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: 2012-02-21
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-21 | Common Stock | A | 112420 | — | Acquired | 1002591 | Direct |
| 2012-02-22 | Common Stock | F | 8341 | $23.28 | Disposed | 994250 | Direct |
| 2012-02-22 | Common Stock | M | 28080.178 | — | Acquired | 1022330 | Direct |
| 2012-02-22 | Common Stock | D | 28080.178 | $23.28 | Disposed | 994250 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-21 | Employee Stock Option (right to buy) | $23.35 | A | 178937 | Acquired | 2020-02-21 | Common Stock (178937) | Direct |
| 2012-02-21 | Restricted Stock Units | $ | A | 112420 | Acquired | Common Stock (112420) | Direct | |
| 2012-02-22 | Restricted Stock Units | $ | M | 28080.178 | Disposed | Common Stock (28080.178) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 12934.61 | Indirect |
Footnotes
F1: All are restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and which vest in three equal annual installments beginning on February 21, 2013.
F2: Includes 364,577 stock-settled RSUs and 638,013 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 1,141.965 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4.
F4: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 28,080.178 stock-settled RSUs.
F5: Includes 336,497 stock-settled RSUs and 657,753 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 336,497 stock-settled RSUs and 685,833 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: The options vest in three equal annual installments beginning on February 21, 2013.
F8: 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.
F9: The cash-settled RSUs vest in three equal annual installments beginning on February 21, 2013. Vested units are to be settled within 30 days after the vesting date.
F10: Represents the portion of the cash-settled RSUs granted on February 22, 2011 (the "2011 cash-settled RSUs") that vested on February 22, 2012, including a total of 488.178 dividend equivalent rights accrued thereon.
F11: The 2011 cash-settled RSUs vest in three equal annual installments beginning on February 22, 2012. Vested units are to be settled within 30 days after the vesting date.
F12: Beneficial ownership amount accounts for the exempt acquisitions of a total of 1,473.695 dividend equivalent rights on the 2011 cash-settled RSUs pursuant to the reinvestment of dividends after the grant date. The rights accrued when and as dividends were paid on shares underlying the 2011 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2011 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.