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Unum Group — Director's Dealing 2013
Feb 26, 2013
30521_dirs_2013-02-26_d1c319c4-aae3-40f8-8353-73a836d34aeb.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: 2013-02-22
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-22 | Common Stock | F | 11389 | $24.25 | Disposed | 970466 | Direct |
| 2013-02-22 | Common Stock | M | 28759.184 | — | Acquired | 999225 | Direct |
| 2013-02-22 | Common Stock | D | 28759.184 | $24.25 | Disposed | 970466 | Direct |
| 2013-02-25 | Common Stock | F | 14042 | $23.71 | Disposed | 956424 | Direct |
| 2013-02-25 | Common Stock | M | 35458.194 | — | Acquired | 991882 | Direct |
| 2013-02-25 | Common Stock | D | 35458.194 | $23.71 | Disposed | 956424 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-22 | Restricted Stock Units | $ | M | 28759.184 | Disposed | Common Stock (28759.184) | Direct | |
| 2013-02-25 | Restricted Stock Units | $ | M | 35458.194 | Disposed | Common Stock (35458.194) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13224.082 | Indirect |
Footnotes
F1: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 28,759.184 stock-settled RSUs (as defined in footnote (2) below).
F2: Includes 197,962 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 772,504 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: Includes 197,962 stock-settled RSUs and 801,263 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F4: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 35,458.194 stock-settled RSUs.
F5: Includes 162,504 stock-settled RSUs and 793,920 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 162,504 stock-settled RSUs and 829,379 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: 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.
F8: Represents the portion of the cash-settled RSUs granted on February 22, 2011 (the "2011 cash-settled RSUs") that vested on February 22, 2013, including a total of 1,167.184 dividend equivalent rights accrued thereon.
F9: 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.
F10: Beneficial ownership amount accounts for the exempt acquisitions of a total of 1,358.235 dividend equivalent rights on the 2011 cash-settled RSUs pursuant to the reinvestment of dividends after February 22, 2012. 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.
F11: Represents the portion of the cash-settled RSUs granted on February 25, 2010 (the "2010 cash-settled RSUs") that vested on February 25, 2013, including a total of 1,976.194 dividend equivalent rights accrued thereon.
F12: The 2010 cash-settled RSUs vest in three equal annual installments beginning on February 25, 2011. Vested units are to be settled within 30 days after the vesting date.
F13: Beneficial ownership amount accounts for the exempt acquisitions of a total of 837.171 dividend equivalent rights on the 2010 cash-settled RSUs pursuant to the reinvestment of dividends after February 25, 2012. The rights accrued when and as dividends were paid on shares underlying the 2010 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2010 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.