SEC Form 4 · accession 0001127602-15-030466
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Watjen
Director
Period of report
Nov 3, 2015
Accepted (ET)
Nov 5, 2015 · 5:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000005513
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 3, 2015 | M | 239,796 | $11.37 | A | 506,570 | D | |
| Common StockF3,F4 | Nov 3, 2015 | S | 239,796 | $34.9087 | D | 266,774 | D | |
| Common Stock | holding | — | — | — | 13,816 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F5 | $11.37 | Nov 3, 2015 | M | 239,796 | D | — | Feb 24, 2017 | Common Stock | 239,796 | 0 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2015.
- F2Includes 98,351 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 408,219 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F3Reflects the weighted average price for multiple sale transactions ranging in price from $34.781 per share to $35.155 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.
- F4Includes 98,351 stock-settled RSUs and 168,423 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F5The options vest in three equal annual installments beginning on February 24, 2010.