SEC Form 4 · accession 0001127602-17-008725
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P McKenney
Officer — President and CEO
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 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 | Feb 23, 2017 | F | 13,056 | $48.65 | D | 272,520 | D | |
| Common StockF3 | Feb 24, 2017 | M | 26,048 | $26.29 | A | 298,568 | D | |
| Common StockF4,F5 | Feb 24, 2017 | F | 19,127 | $48.48 | D | 279,441 | D | |
| Common StockF6 | Feb 24, 2017 | M | 34,270 | $23.35 | A | 313,711 | D | |
| Common StockF4,F7 | Feb 24, 2017 | F | 23,958 | $48.48 | D | 289,753 | D | |
| Common StockF8,F9 | Feb 24, 2017 | F | 6,417 | $48.48 | D | 283,336 | D | |
| Common StockF10,F11 | Feb 25, 2017 | F | 5,529 | $48.48 | D | 277,807 | 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)F12 | $26.29 | Feb 24, 2017 | M | 26,048 | D | — | Feb 22, 2019 | Common Stock | 26,048 | 0 | D |
| Employee Stock Option (right to buy)F13 | $23.35 | Feb 24, 2017 | M | 34,270 | D | — | Feb 21, 2020 | Common Stock | 34,270 | 0 | D |
Explanation of responses
- F1Shares withheld to satisfy tax withholding obligation applicable to the vesting of 31,120.806 stock-settled RSUs (as defined in footnote (2) below).
- F10Shares withheld to satisfy tax withholding obligation applicable to the vesting of 13,179.175 stock-settled RSUs.
- F11Includes 78,485 stock-settled RSUs and 199,323 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F12The options vest in three equal annual installments beginning on February 22, 2012.
- F13The options vest in three equal annual installments beginning on February 21, 2013.
- F2Includes 106,960 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 165,560 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F3Includes 106,960 stock-settled RSUs and 191,608 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F4Shares withheld for payment of exercise price and tax obligations incident to the exercise of stock options.
- F5Includes 106,960 stock-settled RSUs and 172,481 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F6Includes 106,960 stock-settled RSUs and 206,751 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F7Includes 106,960 stock-settled RSUs and 182,793 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F8Shares withheld to satisfy tax withholding obligation applicable to the vesting of 15,296.315 stock-settled RSUs.
- F9Includes 91,664 stock-settled RSUs and 191,673 shares of common stock. Fractional amounts have been rounded to the nearest whole number.