SEC Form 4 · accession 0001214659-18-004242
HORACE MANN EDUCATORS CORP /DE/ · HMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J. Caldwell
Officer — Executive Vice President
Period of report
May 31, 2018
Accepted (ET)
Jun 4, 2018 · 2:36 pm EDT
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 | May 31, 2018 | M | 797 | $30.24 | A | 17,245 | D | |
| Common StockF2 | May 31, 2018 | M | 5,828 | $28.88 | A | 23,073 | D | |
| Common StockF3,F4 | May 31, 2018 | F | 4,352 | $44.20 | D | 18,721 | D | |
| Common StockF5 | May 31, 2018 | M | 2,174 | $32.35 | A | 20,895 | D | |
| Common StockF6 | May 31, 2018 | M | 10,490 | $31.01 | A | 31,385 | D | |
| Common StockF7,F8 | May 31, 2018 | S | 9,692 | $44.32 | D | 21,693 | 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) | $30.24 | May 31, 2018 | M | 797 | D | Dec 11, 2017 | Dec 11, 2020 | Common Stock | 797 | 0 | D |
| Employee Stock Option (right to buy) | $28.88 | May 31, 2018 | M | 5,828 | D | Mar 5, 2018 | Mar 5, 2024 | Common Stock | 5,828 | 0 | D |
| Employee Stock Option (right to buy) | $32.35 | May 31, 2018 | M | 2,174 | D | Mar 4, 2018 | Mar 4, 2025 | Common Stock | 2,174 | 3,880 | D |
| Employee Stock Option (right to buy) | $31.01 | May 31, 2018 | M | 10,490 | D | Mar 9, 2018 | Mar 9, 2026 | Common Stock | 10,490 | 0 | D |
Explanation of responses
- F1Represents 580.514 vested restricted stock units and 16,664 shares of Common Stock.
- F2Represents 580.514 vested restricted stock units and 22,492 shares of Common Stock.
- F3Disposition of pre-owned shares to satisfy exercise pursuant to the 2010 Comprehensive Executive Compensation Plan as amended and restated.
- F4Represents 580.514 vested restricted stock units and 18,140 shares of Common Stock.
- F5Represents 580.514 vested restricted stock units and 20,314 shares of Common Stock.
- F6Represents 580.514 vested restricted stock units and 30,804 shares of Common Stock.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.10 to $44.80.
- F8Represents 580.514 vested restricted stock units and 21,112 shares of Common Stock.