SEC Form 4 · accession 0001127602-18-008933
Unum Group · UNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Jason Waxenberg
Officer — SVP, Chief Accounting Officer
Period of report
Feb 23, 2018
Accepted (ET)
Feb 27, 2018 · 8:57 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 23, 2018 | F | 187 | $51.73 | D | 6,018 | D | |
| Common StockF4,F5 | Feb 24, 2018 | F | 87 | $51.73 | D | 5,931 | D | |
| Common StockF6,F7 | Feb 26, 2018 | S | 1,435 | $52.358 | D | 4,496 | D | |
| Common StockF8 | Feb 27, 2018 | G | 99 | $0.00 | D | 4,397 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld to satisfy tax withholding obligation applicable to the vesting of 629.239 stock-settled RSUs (as defined in footnote (2) below).
- F2Includes 2,123 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 3,895 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 8.333 shares of common stock under the issuer's employee stock purchase plan and 48.667 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 291.880 stock-settled RSUs.
- F5Includes 1,831 stock-settled RSUs and 4,100 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F6Reflects the weighted average price for multiple sale transactions ranging in price from $52.350 per share to $52.359 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.
- F7Includes 1,831 stock-settled RSUs and 2,665 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F8Includes 1,831 stock-settled RSUs and 2,566 shares of common stock. Fractional amounts have been rounded to the nearest whole number.