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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 11.37 | 02/24/2011 | M(1) | 14,855 | (10) | 02/24/2017 | Common Stock | 14,855 | $ 11.37 | 30,853 | D | ||||
Employee Stock Option (right to buy) | $ 11.37 | 02/25/2011 | M(1) | 7,999 | (10) | 02/24/2017 | Common Stock | 7,999 | $ 11.37 | 22,854 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCARTHY KEVIN P 1 FOUNTAIN SQUARE CHATTANOOGA, TN 37402 |
EVP, President & CEO, Unum US |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 02/28/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 25, 2010. |
(2) | Includes 150,448 restricted stock units, whch may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 133,944 shares of common stock. |
(3) | Reflects weighted average price for multiple sale transactions ranging in price from $25.83 per share to $26.07 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. |
(4) | Includes 150,448 stock-settled RSUs and 119,089 shares of common stock. |
(5) | Shares withheld to satisfy tax withholding obligation applicable to the vesting of 27,716.457 stock-settled RSUs. |
(6) | Includes 122,732 stock-settled RSUs and 138,311 shares of common stock. |
(7) | Includes 122,732 stock-settled RSUs and 146,310 shares of common stock. |
(8) | Shares withheld to satisfy tax withholding obligation applicable to the vesting of 14,242.348 stock-settled RSUs. |
(9) | Includes 108,489 stock-settled RSUs and 154,856 shares of common stock. |
(10) | The options vest in three equal annual installments beginning on February 24, 2011. |