SEC Form 4 · accession 0001127602-16-040263
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter G O'Donnell
Officer — President & CEO, Unum UK
Period of report
Mar 6, 2015
Accepted (ET)
Feb 9, 2016 · 6:25 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 StockF1,F2 | May 7, 2015 | M | 674 | $20.31 | A | 22,605 | D |
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)F3,F4 | $30.09 | Mar 6, 2015 | A | 912 | A | May 1, 2018 | Nov 1, 2018 | Common Stock | 912 | 912 | D |
| Employee Stock Option (right to buy)F1 | $20.31 | May 7, 2015 | M | 674 | D | May 1, 2015 | Nov 1, 2015 | Common Stock | 674 | 0 | D |
Explanation of responses
- F1Shares of common stock acquired upon the exercise of options granted under the Unum European Holding Company Limited Savings-Related Share Option Scheme 2011 (the "2011 UEHCL Plan"), a plan for UK employees similar to a US-based employee stock purchase plan, based on the reporting person's contributions to a savings account over a three-year period and a currency exchange rate of ?1 = $1.52108 on the date of exercise.
- F2Includes 12,270 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock, and 10,335 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F3Represents the maximum number of shares of common stock that may be purchased under the 2011 UEHCL Plan based on the reporting person's expected contributions to a savings account over a three-year period and a currency exchange rate of ?1 = $1.52447 as of the date of grant. The actual number of shares that may be purchased upon exercise of the option may be higher or lower depending on the currency exchange rate in effect at the time of exercise.
- F4The date on which the option becomes exercisable or expires may be postponed if monthly contribution amounts are not paid when due.