SEC Form 4 · accession 0001127602-16-067645
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F McGarry
Officer — EVP and CFO
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 5:39 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 | Nov 15, 2016 | M | 5,520 | $26.29 | A | 67,445 | D | |
| Common StockF2 | Nov 15, 2016 | S | 5,520 | $41.14 | D | 61,925 | D | |
| Common StockF3 | Nov 15, 2016 | M | 6,613 | $23.35 | A | 68,538 | D | |
| Common StockF2 | Nov 15, 2016 | S | 6,613 | $41.14 | D | 61,925 | D | |
| Common StockF4 | Nov 15, 2016 | M | 4,850 | $24.25 | A | 66,775 | D | |
| Common StockF2 | Nov 15, 2016 | S | 4,850 | $41.14 | D | 61,925 | D | |
| Common Stock | holding | — | — | — | 3,038 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 805 | I | By N-Q 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 | $26.29 | Nov 15, 2016 | M | 5,520 | D | — | Feb 22, 2019 | Common Stock | 5,520 | 0 | D |
| Employee Stock Option (right to buy)F6 | $23.35 | Nov 15, 2016 | M | 6,613 | D | — | Feb 21, 2020 | Common Stock | 6,613 | 0 | D |
| Employee Stock Option (right to buy)F7 | $24.25 | Nov 15, 2016 | M | 4,850 | D | — | Feb 20, 2021 | Common Stock | 4,850 | 0 | D |
Explanation of responses
- F1Includes 26,176 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 41,269 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F2Includes 26,176 stock-settled RSUs and 35,749 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F3Includes 26,176 stock-settled RSUs and 42,362 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F4Includes 26,176 stock-settled RSUs and 40,599 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 22, 2012.
- F6The options vest in three equal annual installments beginning on February 21, 2013.
- F7The options vest in three equal annual installments beginning on February 20, 2014.