Statement of Changes in Beneficial Ownership (4)
February 25 2021 - 6:38PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Pashley Cherie |
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) SVP, Chief Accounting Officer |
(Last)
(First)
(Middle)
1 FOUNTAIN SQUARE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/23/2021 |
(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 | 2/23/2021 | | A | | 456.63 (1) | A | $0 | 13443 (2)(3) | D | |
Common Stock | 2/23/2021 | | F | | 136 (4) | D | $26.63 | 13307 (5) | D | |
Common Stock | 2/24/2021 | | S | | 1000 | D | $27.806 (6) | 12307 (7) | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents shares of common stock earned from a target number of performance share units awarded on March 1, 2018 ("2018 PSUs"). The shares were earned upon the vesting of the 2018 PSUs and the certification of the levels of achievement of the performance metrics measured over the three-year performance period ended December 31, 2020. |
(2) | Includes 9,040 restricted stock units, which be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 4,402 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(3) | Beneficial ownership amount accounts for the exempt acquisitions of an aggregate of 418.154 shares of common stock under the issuer's employee stock purchase plan, and 183.656 stock-settled RSUs and 219.299 shares of common stock pursuant to the reinvestment of dividends, since the date of the reporting person's prior Form 4. |
(4) | Shares withheld to satisfy tax withholding obligation applicable to the vesting of the earned 2018 PSUs. |
(5) | Includes 9,040 stock-settled RSUs and 4,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(6) | Reflects the weighted average price for multiple sale transactions ranging in price from $27.805 per share to $27.807 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. |
(7) | Includes 9,040 stock-settled RSUs and 3,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Pashley Cherie 1 FOUNTAIN SQUARE CHATTANOOGA, TN 37402 |
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| SVP, Chief Accounting Officer |
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Signatures
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/s/ Jullienne, J. Paul, Attorney-in-Fact | | 2/25/2021 |
**Signature of Reporting Person | Date |
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