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Unum Group — Director's Dealing 2014
Feb 25, 2014
30521_dirs_2014-02-25_4b49d26b-6e8d-40f9-9688-7b88f47310c6.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: 2014-02-21
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-21 | Common Stock | F | 15408 | $33.55 | Disposed | 619548 | Direct |
| 2014-02-21 | Common Stock | F | 7625 | $33.55 | Disposed | 611923 | Direct |
| 2014-02-21 | Common Stock | M | 38908.84 | — | Acquired | 650832 | Direct |
| 2014-02-21 | Common Stock | D | 38908.84 | $33.55 | Disposed | 611923 | Direct |
| 2014-02-21 | Common Stock | M | 19254.655 | — | Acquired | 631178 | Direct |
| 2014-02-21 | Common Stock | D | 19254.655 | $33.55 | Disposed | 611923 | Direct |
| 2014-02-24 | Common Stock | F | 11601 | $33.55 | Disposed | 600322 | Direct |
| 2014-02-24 | Common Stock | M | 29294.027 | — | Acquired | 629616 | Direct |
| 2014-02-24 | Common Stock | D | 29294.027 | $33.55 | Disposed | 600322 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-21 | Restricted Stock Units | $ | M | 38908.84 | Disposed | Common Stock (38908.84) | Direct | |
| 2014-02-21 | Restricted Stock Units | $ | M | 19254.655 | Disposed | Common Stock (19254.655) | Direct | |
| 2014-02-24 | Restricted Stock Units | $ | M | 29294.027 | Disposed | Common Stock (29294.027) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13376.37 | Indirect |
Footnotes
F1: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 38,908.840 stock-settled RSUs (as defined in footnote (2) below).
F2: Includes 126,563 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 492,985 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 712.077 stock-settled RSUs pursuant to the reinvestment of dividends on February 21, 2014.
F4: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 19,254.655 stock-settled RSUs.
F5: Includes 107,309 stock-settled RSUs and 504,615 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: Includes 107,309 stock-settled RSUs and 543,524 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F7: Includes 107,309 stock-settled RSUs and 523,870 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F8: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 29,294.027 stock-settled RSUs.
F9: Includes 78,015 stock-settled RSUs and 522,308 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F10: Includes 78,015 stock-settled RSUs and 551,602 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F11: 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.
F12: Represents the portion of the cash-settled RSUs granted on February 21, 2012 (the "2012 cash-settled RSUs") that vested on February 21, 2014, including a total of 1,435.840 dividend equivalent rights accrued thereon.
F13: 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.
F14: Beneficial ownership amount accounts for the exempt acquisitions of a total of 1,402.086 dividend equivalent rights on the 2012 cash-settled RSUs pursuant to the reinvestment of dividends after February 21, 2013. 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.
F15: Represents the portion of the cash-settled RSUs granted on February 21, 2013 (the "2013 cash-settled RSUs") that vested on February 21, 2014, including a total of 264.655 dividend equivalent rights accrued thereon.
F16: The 2013 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.
F17: Beneficial ownership amount accounts for the exempt acquisitions of a total of 1,040.596 dividend equivalent rights on the 2013 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 2013 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2013 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.
F18: Represents the portion of the cash-settled RSUs granted on February 22, 2011 (the "2011 cash-settled RSUs") that vested on February 22, 2014, including a total of 1,702.027 dividend equivalent rights accrued thereon.
F19: 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.
F20: Beneficial ownership amount accounts for the exempt acquisitions of a total of 525.459 dividend equivalent rights on the 2011 cash-settled RSUs pursuant to the reinvestment of dividends after February 22, 2013. 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.