SEC Form 4 · accession 0001214659-17-000092
HORACE MANN EDUCATORS CORP /DE/ · HMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dwayne D Hallman
Officer — EVP and CFO
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 5:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000850141
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 30, 2016 | M | 10,255 | $17.01 | A | 127,366 | D | |
| Common StockF2,F3 | Dec 30, 2016 | F | 4,075 | $42.80 | D | 123,291 | D | |
| Common StockF4 | holding | — | — | — | 2,589 | I | 401K |
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 | $17.01 | Dec 30, 2016 | M | 10,255 | D | Mar 9, 2015 | Mar 9, 2018 | Common Stock | 10,255 | 0 | D |
Explanation of responses
- F1Represents 99,620.786 vested restricted stock units, 7,331.587 deferred Common Stock equivalent units and 20,414 shares of Common Stock.
- F2Disposition of pre-owned shares to satisfy exercise pursuant to the 2010 Comprehensive Executive Compensation Plan as amended and restated.
- F3Represents 99,620.786 vested restricted stock units, 7,331.587 deferred Common Stock equivalent units and 16,339 shares of Common Stock.
- F4Held by the Horace Mann Supplemental Retirement & Savings Trust (401(K)).
- F5There are no further options of this class.