Initial Statement of Beneficial Ownership (3)
April 20 2016 - 11:18AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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
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Helding Erik M
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/11/2016
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3. Issuer Name
and
Ticker or Trading Symbol
CNO Financial Group, Inc. [CNO]
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(Last)
(First)
(Middle)
C/O CNO FINANCIAL GROUP, INC., 11825 N. PENNSYLVANIA STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
EVP and CFO /
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(Street)
CARMEL, IN 46032
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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12560
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Stock Options
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2/28/2015
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2/28/2019
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Common Stock
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5750
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$7.51
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D
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Stock Options
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(2)
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2/27/2020
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Common Stock
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15200
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$10.88
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D
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Stock Options
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(3)
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3/20/2021
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Common Stock
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12710
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$19.15
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D
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Stock Options
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(4)
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2/25/2025
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Common Stock
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14530
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$16.42
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D
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Stock Options
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(5)
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2/23/2026
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Common Stock
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17300
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$17.38
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D
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Explanation of Responses:
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(
1)
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Includes 2,900 shares of restricted stock that vest in two equal annual installments commencing September 2, 2016 and 5,300 shares of restricted stock that vest in three equal annual installments commencing March 25, 2017.
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(
2)
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One-half of these options became exercisable on February 27, 2015 and the other one-half became exercisable on February 27, 2016.
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(
3)
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One-half of these options became exercisable on March 20, 2016 and the other one-half becomes exercisable on March 20, 2017.
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(
4)
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One-half of these options becomes exercisable on February 25, 2017 and the other one-half becomes exercisable on February 25, 2018.
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(
5)
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One-half of these options becomes exercisable on February 23, 2018 and the other one-half becomes exercisable on February 23, 2019.
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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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Helding Erik M
C/O CNO FINANCIAL GROUP, INC.
11825 N. PENNSYLVANIA STREET
CARMEL, IN 46032
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EVP and CFO
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Signatures
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Erik M. Helding
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4/20/2016
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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 5(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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