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Unum Group — Director's Dealing 2013
Nov 8, 2013
30521_dirs_2013-11-08_8b947f38-7bff-4f72-8ce2-ae9cc908172f.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: 2013-11-06
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-06 | Common Stock | S | 60000 | $32.4113 | Disposed | 672966 | Direct |
| 2013-11-06 | Common Stock | M | 137736 | $21.68 | Acquired | 810702 | Direct |
| 2013-11-06 | Common Stock | S | 137736 | $32.4079 | Disposed | 672966 | Direct |
| 2013-11-07 | Common Stock | M | 28364 | $21.68 | Acquired | 701330 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-06 | Employee Stock Option (right to buy) | $21.68 | M | 137736 | Disposed | 2015-02-23 | Common Stock (137736) | Direct |
| 2013-11-07 | Employee Stock Option (right to buy) | $21.68 | M | 28364 | Disposed | 2015-02-23 | Common Stock (28364) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13330.6594 | 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 September 11, 2013.
F2: Reflects the weighted average price for multiple sale transactions ranging in price from $32.21 per share to $32.65 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.
F3: Includes 164,046 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 508,920 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F4: Beneficial ownership amount accounts for the exempt acquisition of an aggregate of 799.416 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4.
F5: Includes 164,046 stock-settled RSUs and 646,656 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 164,046 stock-settled RSUs and 537,284 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 23, 2008.