SEC Form 4 · accession 0001127602-16-040771

Unum Group · UNM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Thomas R Watjen

Director

Period of report

Feb 9, 2016

Accepted (ET)

Feb 11, 2016 · 6:52 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 Stock^F1,F2,F3	Feb 9, 2016	F	7,941	$26.17	D	259,323	D
Common Stock^F4,F5	Feb 9, 2016	F	11,901	$26.17	D	247,422	D
Common Stock^F6,F7	Feb 9, 2016	F	17,698	$26.17	D	229,724	D
Common Stock^F8	Feb 9, 2016	M	20,051	$0.00	A	249,775	D
Common Stock^F7	Feb 9, 2016	D	20,051	$26.17	D	229,724	D
Common Stock^F9	Feb 9, 2016	M	30,051	$0.00	A	259,775	D
Common Stock^F7	Feb 9, 2016	D	30,051	$26.17	D	229,724	D
Common Stock^F10	Feb 9, 2016	M	44,690	$0.00	A	274,414	D
Common Stock^F7	Feb 9, 2016	D	44,690	$26.17	D	229,724	D
Common Stock	holding	—	—		—	13,978	I	By 401(k) Plan

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Restricted Stock Units^{F12,F14,F11,F13}	—	Feb 9, 2016	M	20,051	D	—	—	Common Stock	20,051	D
Restricted Stock Units^{F15,F17,F11,F16}	—	Feb 9, 2016	M	30,051	D	—	—	Common Stock	30,051	D
Restricted Stock Units^{F18,F20,F11,F19}	—	Feb 9, 2016	M	44,690	D	—	—	Common Stock	44,690	D

Explanation of responses

F1Shares withheld to satisfy tax withholding obligation applicable to the vesting of 20,051.260 stock-settled RSUs (as defined in footnote (2) below).
F10Includes 4,048 stock-settled RSUs and 270,366 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F11The 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.
F12Represents the remaining balance of the cash-settled RSUs granted on February 21, 2013 (the "2013 cash-settled RSUs"), which are being settled as a result of the reporting person's retirement as an officer of the company.
F13The 2013 cash-settled RSUs vest in three equal annual installments beginning on February 21, 2014. Vested units are to be settled within 30 days after the vesting date.
F14Beneficial ownership amount accounts for the exempt acquisitions of a total of 303.465 dividend equivalent rights on the 2013 cash-settled RSUs pursuant to the reinvestment of dividends after February 21, 2015. The rights accrued when and as dividends were paid on shares underlying the 2013 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2013 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.
F15Represents the remaining balance of the cash-settled RSUs granted on February 25, 2014 (the "2014 cash-settled RSUs"), which are being settled as a result of the reporting person's retirement as an officer of the company.
F16The 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.
F17Beneficial ownership amount accounts for the exempt acquisitions of a total of 454.810 dividend equivalent rights on the 2014 cash-settled RSUs pursuant to the reinvestment of dividends after February 25, 2015. 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.
F18Represents the remaining balance of the cash-settled RSUs granted on February 24, 2015 (the "2015 cash-settled RSUs"), which are being settled as a result of the reporting person's retirement as an officer of the company.
F19The 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.
F2Includes 78,790 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 180,533 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F20Beneficial ownership amount accounts for the exempt acquisitions of a total of 676.363 dividend equivalent rights on the 2015 cash-settled RSUs pursuant to the reinvestment of dividends after February 24, 2015. The rights accrued when and as dividends were paid on shares underlying the 2015 cash-settled RSUs and became vested proportionately with and subject to settlement upon the same terms as the 2015 cash-settled RSUs to which they related. Each dividend equivalent right is the economic equivalent of one share of common stock of the issuer.
F3Beneficial ownership amount accounts for the exempt acquisition of an aggregate of 490.165 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4.
F4Shares withheld to satisfy tax withholding obligation applicable to the vesting of 30,051.342 stock-settled RSUs.
F5Includes 48,739 stock-settled RSUs and 198,683 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F6Shares withheld to satisfy tax withholding obligation applicable to the vesting of 44,690.363 stock-settled RSUs.
F7Includes 4,048 stock-settled RSUs and 225,676 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F8Includes 4,048 stock-settled RSUs and 245,727 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
F9Includes 4,048 stock-settled RSUs and 255,727 shares of common stock. Fractional amounts have been rounded to the nearest whole number.