SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Unum Group [ UNM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/01/2024 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/01/2024 | F | 1,718(1) | D | $49.3 | 49,019(2) | D | |||
Common Stock | 03/01/2024 | F | 1,687(3) | D | $49.3 | 47,332(4) | D | |||
Common Stock | 03/01/2024 | F | 1,208(5) | D | $49.3 | 46,124(6) | D | |||
Common Stock | 03/01/2024 | A | 10,716(7) | A | $0 | 56,840(8) | D | |||
Common Stock | 03/05/2024 | S | 16,000 | D | $50.004(9) | 40,840(10) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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. Shares withheld to satisfy tax withholding obligation applicable to the vesting of 4,641 stock-settled RSUs (as defined in footnote (2) below). |
2. Includes 19,142 restricted stock units, 6,721 stock success units, and 23,156 shares of common stock. All restricted stock units ("stock-settled RSUs") and stock success units ("SSUs") may be settled, on a 1-for-1 basis, only in shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
3. Shares withheld to satisfy tax withholding obligation applicable to the vesting of 4,558 stock-settled RSUs. |
4. Includes 14,584 stock-settled RSUs, 6,721 SSUs, and 26,027 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
5. Shares withheld to satisfy tax withholding obligation applicable to the vesting of 3,263 stock-settled RSUs. |
6. Includes 11,321 stock-settled RSUs, 6,721 SSUs, and 28,082 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
7. All are stock-settled RSUs, which vest in three near-equal annual installments beginning on March 1, 2025. |
8. Includes 22,037 stock-settled RSUs, 6,721 SSUs, and 28,082 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
9. Reflects the weighted average price for multiple sale transactions ranging in price from $50.00 per share to $50.06 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. |
10. Includes 22,037 stock-settled RSUs, 6,721 SSUs, and 12,082 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
Remarks: |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 03/05/2024 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |