SEC Form 4 · accession 0001127602-16-065713
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Watjen
Director
Period of report
Oct 28, 2016
Accepted (ET)
Nov 1, 2016 · 5:15 pm EDT
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,F3,F4 | Oct 28, 2016 | S | 24,900 | $35.5581 | D | 123,323 | D | |
| Common StockF5 | Oct 28, 2016 | S | 100 | $36.12 | D | 123,223 | D | |
| Common StockF6 | Oct 28, 2016 | M | 153,927 | $20.78 | A | 277,150 | D | |
| Common StockF7,F8 | Oct 28, 2016 | S | 153,827 | $35.5569 | D | 123,323 | D | |
| Common StockF5 | Oct 28, 2016 | S | 100 | $36.096 | D | 123,223 | D | |
| Common Stock | holding | — | — | — | 14,142 | 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)F9 | $20.78 | Oct 28, 2016 | M | 153,927 | D | — | Feb 25, 2018 | Common Stock | 153,927 | 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 31, 2016.
- F2Reflects the weighted average price for multiple sale transactions ranging in price from $35.100 per share to $36.045 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.
- F3Includes 4,149 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 119,174 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F4Beneficial ownership amount accounts for the exempt acquisition of an aggregate of 23.920 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4.
- F5Includes 4,149 stock-settled RSUs and 119,074 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F6Includes 4,149 stock-settled RSUs and 273,001 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F7Reflects the weighted average price for multiple sale transactions ranging in price from $35.060 per share to $36.050 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.
- F8Includes 4,149 stock-settled RSUs and 119,174 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F9The options vest in three equal annual installments beginning on February 25, 2011.