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Unum Group — Director's Dealing 2015
Feb 27, 2015
30521_dirs_2015-02-26_c082716d-7394-4ade-8af3-34abf7bf81ab.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: 2015-02-24
Reporting Person: WATJEN THOMAS R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-24 | Common Stock | A | 44014 | — | Acquired | 427641 | Direct |
| 2015-02-25 | Common Stock | M | 14795.719 | — | Acquired | 442437 | Direct |
| 2015-02-25 | Common Stock | D | 14795.719 | $34.08 | Disposed | 427641 | Direct |
| 2015-02-25 | Common Stock | F | 5860 | $33.88 | Disposed | 421781 | Direct |
| 2015-02-25 | Common Stock | S | 37767 | $33.8749 | Disposed | 384014 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-24 | Restricted Stock Units | $ | A | 44014 | Acquired | Common Stock (44014) | Direct | |
| 2015-02-25 | Restricted Stock Units | $ | M | 14795.719 | Disposed | Common Stock (14795.719) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13619.05 | 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 24, 2016.
F2: Includes 108,154 stock-settled RSUs and 319,487 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F3: Includes 122,950 stock-settled RSUs and 319,487 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F4: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 14,795.719 stock-settled RSUs.
F5: Includes 93,358 stock-settled RSUs and 328,423 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6: These sale transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2014.
F7: Reflects the weighted average price for multiple sale transactions ranging in price from $33.78 per share to $34.15 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 93,358 stock-settled RSUs and 290,656 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F9: 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.
F10: The 2015 cash-settled RSUs vest in three equal annual installments beginning on February 24, 2016. Vested units are to be settled within 30 days after the vesting date.
F11: Represents the portion of the cash-settled RSUs granted on February 25, 2014 (the "2014 cash-settled RSUs") that vested on February 25, 2015, including a total of 275.719 dividend equivalent rights accrued thereon.
F12: The 2014 cash-settled RSUs vest in three equal annual installments beginning on February 25, 2015. Vested units are to be settled within 30 days after the vesting date.
F13: Beneficial ownership amount accounts for the exempt acquisitions of a total of 830.251 dividend equivalent rights on the 2014 cash-settled RSUs pursuant to the reinvestment of dividends after February 25, 2014. The rights accrued when and as dividends were paid on shares underlying the 2014 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2014 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.