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Unum Group — Director's Dealing 2013
Feb 23, 2013
30521_dirs_2013-02-22_b4ae5adf-2791-420c-be5e-e4ce81208320.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: 2013-02-21
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-21 | Common Stock | A | 56972 | — | Acquired | 996564 | Direct |
| 2013-02-21 | Common Stock | F | 14709 | $23.97 | Disposed | 981855 | Direct |
| 2013-02-21 | Common Stock | M | 38375.035 | — | Acquired | 1020230.035 | Direct |
| 2013-02-21 | Common Stock | D | 38375.035 | $23.97 | Disposed | 981855 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-21 | Restricted Stock Units | $ | A | 56972 | Acquired | Common Stock (56972) | Direct | |
| 2013-02-21 | Restricted Stock Units | $ | M | 38375.035 | Disposed | Common Stock (38375.035) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13219.9461 | 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, 2014.
F2: Includes 265,096 stock-settled RSUs and 731,468 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: Beneficial ownership amount accounts for the exempt acquisition of an aggregate of 1,100.291 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 38,375.035 stock-settled RSUs.
F5: Includes 226,721 stock-settled RSUs and 755,134 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 226,721 stock-settled RSUs and 793,509 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: The 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.
F9: Represents the portion of the cash-settled RSUs granted on February 21, 2012 (the "2012 cash-settled RSUs") that vested on February 21, 2013, including a total of 902.035 dividend equivalent rights accrued thereon.
F10: The 2012 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.
F11: Beneficial ownership amount accounts for the exempt acquisitions of a total of 2,718.426 dividend equivalent rights on the 2012 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 2012 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2012 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.