SEC Form 4 · accession 0001250988-16-000062
CNO Financial Group, Inc. · CNO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan L Menzel
Officer — EVP, HR
Period of report
Nov 15, 2016
Accepted (ET)
Nov 16, 2016 · 5:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001224608
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 25, 2016 | F | 610 | $18.06 | D | 1,960 | D | |
| Common Stock | Nov 15, 2016 | M | 79,500 | $6.45 | A | 81,460 | D | |
| Common Stock | Nov 15, 2016 | S | 79,500 | $17.4958 | D | 1,960 | D | |
| Common Stock | holding | — | — | — | 137,581 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $6.45 | Nov 15, 2016 | M | 79,500 | D | — | Mar 18, 2017 | Common Stock | 79,500 | 0 | D |
Explanation of responses
- F1Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock.
- F2One-half of these options vested on March 18, 2012 and the other one-half vested on March 18, 2013.