Statement of Changes in Beneficial Ownership (4)
February 09 2016 - 6:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
O'Donnell Peter G
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2. Issuer Name
and
Ticker or Trading Symbol
Unum Group
[
UNM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO, Unum UK
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(Last)
(First)
(Middle)
1 FOUNTAIN SQUARE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2015
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(Street)
CHATTANOOGA, TN 37402
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/7/2015
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M
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674
(1)
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A
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$20.31
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22605
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$30.09
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3/6/2015
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A
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912
(3)
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5/1/2018
(4)
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11/1/2018
(4)
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Common Stock
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912
(3)
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$0
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912
(3)
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D
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Employee Stock Option (right to buy)
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$20.31
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5/7/2015
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M
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674
(1)
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5/1/2015
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11/1/2015
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Common Stock
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674
(1)
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$0
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0
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D
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Explanation of Responses:
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(
1)
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Shares of common stock acquired upon the exercise of options granted under the Unum European Holding Company Limited Savings-Related Share Option Scheme 2011 (the "2011 UEHCL Plan"), a plan for UK employees similar to a US-based employee stock purchase plan, based on the reporting person's contributions to a savings account over a three-year period and a currency exchange rate of ?1 = $1.52108 on the date of exercise.
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(
2)
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Includes 12,270 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock, and 10,335 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
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(
3)
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Represents the maximum number of shares of common stock that may be purchased under the 2011 UEHCL Plan based on the reporting person's expected contributions to a savings account over a three-year period and a currency exchange rate of ?1 = $1.52447 as of the date of grant. The actual number of shares that may be purchased upon exercise of the option may be higher or lower depending on the currency exchange rate in effect at the time of exercise.
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(
4)
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The date on which the option becomes exercisable or expires may be postponed if monthly contribution amounts are not paid when due.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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O'Donnell Peter G
1 FOUNTAIN SQUARE
CHATTANOOGA, TN 37402
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President & CEO, Unum UK
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Signatures
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/s/ Jullienne, J. Paul, Attorney-in-Fact
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2/9/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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