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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 |
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 | 02/25/2010 | |
**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) | Represents shares withheld to satisfy tax withholding obligation upon vesting of 9,103 shares of restricted stock. |
(2) | Includes 133,771 restricted stock units (which amount includes the exempt acquisition of an aggregate of approximately 1,485 RSUs resulting from the reinvestment of dividends after the date of the reporting person's prior Form 4), 3,554 shares in the company ESPP, and 70,244 shares held outside any plan (which amount includes the exempt acquisition of an aggregate of approximately 1,806 shares resulting from the reinvestment of dividends under a broker-sponsored DRIP). |
(3) | Represents shares withheld to satisfy tax withholding obligation upon vesting of 11,714.779 restricted stock units. |
(4) | Includes 122,056 restricted stock units, 3,554 shares in the company ESPP, and 78,274 shares held outside any plan. |
(5) | Represents shares withheld to satisfy tax withholding obligation upon vesting of 27,280.792 restricted stock units. |
(6) | Includes 94,775 restricted stock units, 3,554 shares in the company ESPP, and 96,882 shares held outside any plan. |
(7) | Due to administrative error, these indirect holdings were inadvertently omitted from each of the prior Form 4s (including amendments thereto, as applicable) filed on behalf of the reporting person from November 21, 2007. All such Form 4s are hereby amended to include such indirect holdings. |