UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | 05/01/2015(2) | 11/01/2015(2) | Common Stock | 718 (3) | $ 20.31 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Donnell Peter G 1 FOUNTAIN SQUARE CHATTANOOGA, TN 37402 |
 |  |  President & CEO, Unum UK |  |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 09/27/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes 9,291 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock, and 1,414 shares of common stock. Fractional amounts have been rounded to the nearest whole number |
(2) | The date on which the option becomes exercisable or expires may be postponed if monthly contribution amounts are not paid when due. |
(3) | Represents the maximum number of shares of common stock that may be purchased under the Unum European Holding Company Limited Savings-Related Share Option Scheme 2011, a plan for UK employees similar to a US-based employee stock purchase 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 = $1.62132 as of September 17, 2012. The actual maximum 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. |