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Unum Group — Director's Dealing 2013
Dec 6, 2013
30521_dirs_2013-12-06_81b09029-ec7e-4aa7-8294-8494a2822b02.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: 2013-12-04
Reporting Person: MCCARTHY KEVIN P (EVP & Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-04 | Common Stock | M | 1000 | $23.74 | Acquired | 177993 | Direct |
| 2013-12-04 | Common Stock | M | 1060 | $20.78 | Acquired | 179053 | Direct |
| 2013-12-04 | Common Stock | M | 1060 | $26.29 | Acquired | 180113 | Direct |
| 2013-12-04 | Common Stock | M | 760 | $23.35 | Acquired | 180873 | Direct |
| 2013-12-04 | Common Stock | S | 3880 | $34.00 | Disposed | 176993 | Direct |
| 2013-12-05 | Common Stock | M | 1518 | $23.35 | Acquired | 178511 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-04 | Employee Stock Option (right to buy) | $23.74 | M | 1000 | Disposed | 2016-02-21 | Common Stock (1000) | Direct |
| 2013-12-04 | Employee Stock Option (right to buy) | $20.78 | M | 1060 | Disposed | 2018-02-25 | Common Stock (1060) | Direct |
| 2013-12-04 | Employee Stock Option (right to buy) | $26.29 | M | 1060 | Disposed | 2019-02-22 | Common Stock (1060) | Direct |
| 2013-12-04 | Employee Stock Option (right to buy) | $23.35 | M | 760 | Disposed | 2020-02-21 | Common Stock (760) | Direct |
| 2013-12-05 | Employee Stock Option (right to buy) | $23.35 | M | 1518 | Disposed | 2020-02-21 | Common Stock (1518) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1856.36 | 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 14, 2013.
F2: Includes 84,727 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 93,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: Includes 84,727 stock-settled RSUs, and 94,326 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F4: Includes 84,727 stock-settled RSUs, and 95,386 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F5: Includes 84,727 stock-settled RSUs, and 96,146 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 84,727 stock-settled RSUs, and 92,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: Includes 84,727 stock-settled RSUs, and 93,784 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F8: The options vest in three equal annual installments beginning on February 21, 2009.
F9: The options vest in three equal annual installments beginning on February 25, 2011.
F10: The options vest in three equal annual installments beginning on February 22, 2012.
F11: The options vest in three equal annual installments beginning on February 21, 2013.