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Unum Group — Director's Dealing 2014
Feb 26, 2014
30521_dirs_2014-02-26_ebbf47ae-7199-4820-bd9c-44006b0894a3.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: 2014-02-24
Reporting Person: MCCARTHY KEVIN P (EVP & Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-24 | Common Stock | F | 5072 | $33.55 | Disposed | 173923 | Direct |
| 2014-02-24 | Common Stock | M | 7347 | $26.29 | Acquired | 181270 | Direct |
| 2014-02-24 | Common Stock | S | 7347 | $34.0046 | Disposed | 173923 | Direct |
| 2014-02-24 | Common Stock | M | 8950 | $23.35 | Acquired | 182873 | Direct |
| 2014-02-24 | Common Stock | S | 8950 | $34.0003 | Disposed | 173923 | Direct |
| 2014-02-24 | Common Stock | M | 10805 | $24.25 | Acquired | 184728 | Direct |
| 2014-02-24 | Common Stock | S | 10805 | $34.0086 | Disposed | 173923 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-24 | Employee Stock Option (right to buy) | $26.29 | M | 7347 | Disposed | 2019-02-22 | Common Stock (7347) | Direct |
| 2014-02-24 | Employee Stock Option (right to buy) | $23.35 | M | 8950 | Disposed | 2020-02-21 | Common Stock (8950) | Direct |
| 2014-02-24 | Employee Stock Option (right to buy) | $24.25 | M | 10805 | Disposed | 2021-02-20 | Common Stock (10805) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1864.38 | Indirect |
Footnotes
F1: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 11,657.957 stock-settled RSUs (as defined in footnote (2) below).
F2: Includes 44,511 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 129,412 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: 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.
F4: Includes 44,511 stock-settled RSUs and 136,759 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F5: Reflects weighted average price for multiple sale transactions ranging in price from $34.000 per share to $34.005 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.
F6: Includes 44,511 stock-settled RSUs and 138,362 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: Reflects weighted average price for multiple sale transactions ranging in price from $34.00 per share to $34.01 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.
F8: Includes 44,511 stock-settled RSUs and 140,217 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F9: The options vest in three equal annual installments beginning on February 22, 2012.
F10: The options vest in three equal annual installments beginning on February 21, 2013.
F11: The options vest in three equal annual installments beginning on February 20, 2014.