SEC Form 4 · accession 0001127602-17-008014
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Gerald Arnold
Officer — EVP, President & CEO, Colonial
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 6:19 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,F3 | Feb 21, 2017 | A | 1,336 | $0.00 | A | 18,748 | D | |
| Common StockF4,F5 | Feb 21, 2017 | F | 521 | $48.56 | D | 18,227 | D | |
| Common Stock | holding | — | — | — | 583 | I | By 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock earned from a target number of performance share units awarded on February 25, 2014 ("2014 PSUs"). The shares were earned upon the vesting of the 2014 PSUs and the certification of the levels of achievement of the performance metrics measured over the three-year performance period ended December 31, 2016.
- F2Includes 12,619 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 6,129 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F3Beneficial ownership amount accounts for the exempt acquisitions of an aggregate of 30.834 shares of common stock under the issuer's employee stock purchase plan and 182.727 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 the earned 2014 PSUs.
- F5Includes 12,619 stock-settled RSUs and 5,608 shares of common stock. Fractional amounts have been rounded to the nearest whole number.