SEC Form 4 · accession 0001250988-17-000009
CNO Financial Group, Inc. · CNO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Erik M Helding
Officer — EVP and CFO
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 3:31 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 | Feb 23, 2017 | A | 1,447 | — | A | 25,700 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 23, 2017 | A | 16,670 | A | — | — | Common Stock | 16,670 | 16,670 | D |
| Stock OptionsF4 | $21.06 | Feb 23, 2017 | A | 35,400 | A | — | Feb 23, 2027 | Common Stock | 35,400 | 35,400 | D |
Explanation of responses
- F1These shares were acquired upon vesting of performance share units for the 2014-2016 performance period, based on the Issuer's average pre-tax operating income over that period.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3The restricted stock units vest in three equal annual installments beginning March 25, 2018.
- F4One-half of these options becomes exercisable on February 23, 2019 and the other one-half becomes exercisable on February 23, 2020.