-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TVM3QyMoHhZ22pstpy6GYkPidBmRx16dLuhBLis7wV9fP7DewRbDnL1UyyGYDWrT nOs+B+BvJkEoe9PcEgKcBA== 0001104659-09-051316.txt : 20090824 0001104659-09-051316.hdr.sgml : 20090824 20090824171030 ACCESSION NUMBER: 0001104659-09-051316 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20090824 DATE AS OF CHANGE: 20090824 GROUP MEMBERS: DAVID H. BATCHELDER GROUP MEMBERS: RALPH V. WHITWORTH GROUP MEMBERS: RELATIONAL COAST PARTNERS, L.P. GROUP MEMBERS: RELATIONAL FUND PARTNERS, L.P. GROUP MEMBERS: RELATIONAL INVESTORS ALPHA FUND I, L.P. GROUP MEMBERS: RELATIONAL INVESTORS III, L.P. GROUP MEMBERS: RELATIONAL INVESTORS IX, L.P. GROUP MEMBERS: RELATIONAL INVESTORS VIII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS X, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XV, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XVI, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XX, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XXII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS XXIII, L.P. GROUP MEMBERS: RELATIONAL INVESTORS, L.P. GROUP MEMBERS: RH FUND 1, L.P. GROUP MEMBERS: RH FUND 4, L.P. GROUP MEMBERS: RH FUND 6, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Unum Group CENTRAL INDEX KEY: 0000005513 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 621598430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44427 FILM NUMBER: 091031776 BUSINESS ADDRESS: STREET 1: 1 FOUNTAIN SQUARE CITY: CHATTANOOGA STATE: TN ZIP: 37402 BUSINESS PHONE: 4232944350 MAIL ADDRESS: STREET 1: 1 FOUNTAIN SQUARE CITY: CHATTANOOGA STATE: TN ZIP: 37402 FORMER COMPANY: FORMER CONFORMED NAME: UNUMPROVIDENT CORP DATE OF NAME CHANGE: 19990702 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT COMPANIES INC /DE/ DATE OF NAME CHANGE: 19961204 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENT LIFE & ACCIDENT INSURANCE CO OF AMERICA DATE OF NAME CHANGE: 19950407 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RELATIONAL INVESTORS LLC CENTRAL INDEX KEY: 0001047644 IRS NUMBER: 330694767 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858.704.3333 MAIL ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 SC 13D/A 1 a09-23838_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE
COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 6)*

 

Unum Group

(Name of Issuer)

 

Common Stock, $.10 par value

(Title of Class of Securities)

 

91529Y106

(CUSIP Number)

 

Ralph V. Whitworth

Relational Investors, LLC

12400 High Bluff Drive, Suite 600

San Diego, CA 92130

(858) 704-3333

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

August 21, 2009

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

CUSIP No.   91529Y106

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors, LLC

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
16,360,063

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
16,360,063

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
16,360,063

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.94%

 

 

14.

Type of Reporting Person (See Instructions)
IA/HC/OO

 

2



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
2,712,665

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
2,712,665

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,712,665

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.82%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

3



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Fund Partners, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
61,771

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
61,771

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
61,771

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.02%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

4



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Coast Partners, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
131,593

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
131,593

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
131,593

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.04%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

5



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 1, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,299,596

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
1,299,596

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,299,596

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.39%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

6



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 4, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
499,778

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
499,778

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
499,778

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.15%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

7



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
RH Fund 6, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
641,842

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
641,842

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
641,842

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.19%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

8



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors III, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
31,534

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
31,534

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
31,534

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.01%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

9



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors VIII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
2,451,851

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
2,451,851

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,451,851

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.74%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

10



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors IX, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
756,053

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
756,053

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
756,053

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.23%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

11



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors X, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
857,704

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
857,704

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
857,704

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.26%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

12



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XV, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
348,925

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
348,925

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
348,925

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.11%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

13



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XVI, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
255,596

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
255,596

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
255,596

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.08%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

14



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XX, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
256,784

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
256,784

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
256,784

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.08%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

15



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XXII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
540,455

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
540,455

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
540,455

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.16%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

16



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors XXIII, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC/OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
304,759

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
304,759

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
304,759

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.09%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

17



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Relational Investors Alpha Fund I, L.P.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
697,741

 

8.

Shared Voting Power
-0-

 

9.

Sole Dispositive Power
697,741

 

10.

Shared Dispositive Power
-0-

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
697,741

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.21%

 

 

14.

Type of Reporting Person (See Instructions)
PN

 

18



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Ralph V. Whitworth

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
NA

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
-0-

 

8.

Shared Voting Power
16,360,063

 

9.

Sole Dispositive Power
-0-

 

10.

Shared Dispositive Power
16,360,063

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
16,360,063

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.94%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

19



 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
David H. Batchelder

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
NA

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
-0-

 

8.

Shared Voting Power
16,360,063

 

9.

Sole Dispositive Power
-0-

 

10.

Shared Dispositive Power
16,360,063

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
16,360,063

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.94%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

20



 

Item 1.

Security and Issuer

This Schedule 13D/A constitutes the sixth amendment to the Schedule 13D originally filed by the Reporting Persons with the Securities and Exchange Commission (the “SEC”) on March 9, 2007 (the “Statement”) and amended by Amendment No. 1, No. 2 No. 3 and No. 4 filed by the Reporting Persons with the SEC on March 30, 2007, May 30, 2007, July 26, 2007, May 14, 2009 and June 22, 2009 (the “Amendments”) with respect to the common stock, $.10 par value (the “Shares”), of Unum Group, a Delaware corporation (the “Issuer” or the “Company”).  Except as specifically amended by this Schedule 13D/A, the Statement remains in full force and effect.

 

21



 

Item 3.

Source and Amount of Funds or Other Consideration

Item 3 of the Statement is hereby amended and restated as follows:

 

RILLC and the Managed Accounts hold an aggregate of 4,511,416 Shares for a total consideration (including brokerage commissions) of $82.8 million derived from capital of the Managed Accounts.

The Relational LPs hold an aggregate of 11,848,647 Shares for total consideration (including brokerage commissions) of $260.1 million derived from the capital of the Relational LPs and margin borrowings from CSSU for RFP, RCP, RH1, RI XX and RI XXIII.

Interest on the margin debt balance of the margin accounts described above is charged at the then Federal Funds Rate plus 50 basis points.  CSSU has a lien on the Shares held by certain Managed Accounts and those held by RFP, RCP, RH1, RI XX and RI XXIII to secure repayment of the margin borrowings described above.

 

22



 

Item 5.

Interest in Securities of the Issuer

Item 5 of the Statement is hereby amended and restated as follows:

 

(a)           As of the date of this Statement, the Reporting Persons beneficially owned in the aggregate 16,360,063 Shares, constituting 4.94% of the outstanding Shares.  The percentage of Shares owned being based upon 331,413,937 Shares outstanding on August 3, 2009, as set forth in the Issuer’s Form 10-Q for the quarter ended June 30, 2009.  The Reporting Persons may be deemed to have direct beneficial ownership of the Shares as follows:

 

NAME

 

NUMBER OF SHARES

 

% OF OUTSTANDING SHARES

 

VOTING AND DISPOSITIVE POWER

 

RILLC

 

4,511,416

 

1.36

%

Sole

 

RILP

 

2,712,665

 

0.82

%

Sole

 

RFP

 

61,771

 

0.02

%

Sole

 

RCP

 

131,593

 

0.04

%

Sole

 

RH1

 

1,299,596

 

0.39

%

Sole

 

RH4

 

499,778

 

0.15

%

Sole

 

RH6

 

641,842

 

0.19

%

Sole

 

RI III

 

31,534

 

0.01

%

Sole

 

RI VIII

 

2,451,851

 

0.74

%

Sole

 

RI IX

 

756,053

 

0.23

%

Sole

 

RI X

 

857,704

 

0.26

%

Sole

 

RI XV

 

348,925

 

0.11

%

Sole

 

RI XVI

 

255,596

 

0.08

%

Sole

 

RI XX

 

256,784

 

0.08

%

Sole

 

RI XXII

 

540,455

 

0.16

%

Sole

 

RI XXIII

 

304,759

 

0.09

%

Sole

 

RIA 1

 

697,741

 

0.21

%

Sole

 

 

RILLC, individually and in its capacity as an investment adviser, may be deemed to possess direct beneficial ownership of the 4,511,416 Shares that are owned by it and the Managed Accounts.  Additionally, RILLC, as the sole general partner, or sole managing member of the general partner, of each of Relational LPs may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934, as amended) the 11,848,647 Shares beneficially owned by the Relational LPs because the limited partnership agreements of the Relational LPs specify that RILLC has sole investment discretion and voting authority with respect to those Shares.

Each of Messrs. Whitworth and Batchelder, as Principals of RILLC, may be deemed to share indirect beneficial ownership of the Shares which RILLC may beneficially own.  Each of Messrs. Whitworth and Batchelder disclaims beneficial ownership of such Shares for all other purposes.

To the best of the knowledge of each of the Reporting Persons, other than as set forth above, none of the persons named in Item 2 is the beneficial owner of any Shares.

 

23



 

(b)           See item (a) above.

(c)           Information concerning transactions in the Shares by the Reporting Persons during the past 60 days and not previously reported is set forth in Exhibit A filed with this Statement.

(d)           No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares covered by this Statement, except that dividends from, and proceeds from the sale of, the Shares held by accounts managed by RILLC may be delivered to such accounts.

(e)           The Reporting Persons ceased to be the beneficial owner of more than 5 percent of the Shares on August 21, 2009.

 

 

Item 7.

Material to Be Filed as Exhibits

 

The following Exhibits are filed herewith:
Exhibit A – Information concerning transactions in the Shares affected by the Reporting Persons in the last 60 days and not previously reported.

 

24



 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:  August 24, 2009

RELATIONAL INVESTORS, L.P.
RELATIONAL FUND PARTNERS, L.P.
RELATIONAL COAST PARTNERS, L.P.
RH FUND 1, L.P.
RH FUND 4, L.P.
RH FUND 6, L.P.
RELATIONAL INVESTORS III, L.P.
RELATIONAL INVESTORS VIII, L.P.
RELATIONAL INVESTORS IX, L.P.
RELATIONAL INVESTORS X, L.P.
RELATIONAL INVESTORS XV, L.P.
RELATIONAL INVESTORS XVI, L.P.

RELATIONAL INVESTORS XX, L.P.

RELATIONAL INVESTORS XXII, L.P.

RELATIONAL INVESTORS XXIII, L.P.

RELATIONAL INVESTORS Alpha Fund L.P.

 

By:

RELATIONAL INVESTORS, LLC

 

as general partner to each, except as the sole managing member of the general partners of Relational Investors III, L.P., Relational Investors X, L.P. and Relational Investors Alpha Fund I, L.P.

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

RELATIONAL INVESTORS, LLC

 

 

 

 

 

 

By:

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth, Principal

 

 

 

 

 

 

/s/ Ralph V. Whitworth

 

 

 

Ralph V. Whitworth

 

 

 

 

 

 

 

 

 

 

 

/s/ David H. Batchelder

 

 

 

David H. Batchelder

 

 

 

 

25



 

EXHIBIT INDEX

 

Exhibit

 

Description

 

 

 

A.

 

Information concerning transactions in the Shares affected by Reporting Persons in the last 60 days and not previously reported.

 

26


EX-99..A 2 a09-23838_1ex99dda.htm EX-99..A

Exhibit 99.A

 

Exhibit A

 

TRANSACTIONS BY REPORTING PERSONS SINCE LAST FILING

 

Beneficial Ownership

 

Purchase
or Sale

 

Quantity

 

Transaction
Date

 

Price per
Share
(including
commission)

 

How Effected

 

Relational Investors III, L.P.

 

Sale

 

4,937

 

7/1/2009

 

$

16.02

 

Open Market

 

Relational Partners, L.P.

 

Sale

 

71,885

 

7/1/2009

 

$

16.02

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

24,876

 

8/17/2009

 

$

20.62

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

11,916

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

289

 

8/17/2009

 

$

20.62

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

4,582

 

8/17/2009

 

$

20.62

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

5,885

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

22,480

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

6,932

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

7,864

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

3,199

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

2,343

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

2,354

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

4,955

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

2,794

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

1,118

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

88

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

566

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

6,397

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors LLC

 

Sale

 

13,212

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors LLC

 

Sale

 

7,505

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors LLC

 

Sale

 

20,645

 

8/17/2009

 

$

20.62

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

53,889

 

8/18/2009

 

$

20.83

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

25,817

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

626

 

8/18/2009

 

$

20.83

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

9,928

 

8/18/2009

 

$

20.83

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

12,751

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

48,707

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

15,019

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

17,039

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

6,932

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

5,078

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

5,101

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

10,736

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

6,054

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

2,423

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

192

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

1,227

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

13,861

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors LLC

 

Sale

 

28,627

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors LLC

 

Sale

 

16,262

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors LLC

 

Sale

 

44,731

 

8/18/2009

 

$

20.83

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

34,822

 

8/19/2009

 

$

21.23

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

16,682

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

405

 

8/19/2009

 

$

21.23

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

6,415

 

8/19/2009

 

$

21.23

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

8,239

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

31,472

 

8/19/2009

 

$

21.23

 

Open Market

 

 



 

Relational Investors IX, L.P.

 

Sale

 

9,705

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

11,010

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

4,479

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

3,281

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

3,296

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

6,937

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

3,912

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

1,565

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

124

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

793

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

8,956

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors LLC

 

Sale

 

18,497

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors LLC

 

Sale

 

10,507

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors LLC

 

Sale

 

28,903

 

8/19/2009

 

$

21.23

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

33,159

 

8/20/2009

 

$

21.45

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

15,888

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

386

 

8/20/2009

 

$

21.45

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

6,110

 

8/20/2009

 

$

21.45

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

7,847

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

29,974

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

9,243

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

10,485

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

4,266

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

3,125

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

3,139

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

6,607

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

3,726

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

1,491

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

118

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

755

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

8,530

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors LLC

 

Sale

 

17,617

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors LLC

 

Sale

 

10,007

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors LLC

 

Sale

 

27,527

 

8/20/2009

 

$

21.45

 

Open Market

 

Relational Investors, L.P.

 

Sale

 

37,308

 

8/21/2009

 

$

21.95

 

Open Market

 

RH Fund 1, L.P.

 

Sale

 

17,873

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors III, L.P.

 

Sale

 

434

 

8/21/2009

 

$

21.95

 

Open Market

 

RH Fund 4, L.P.

 

Sale

 

6,873

 

8/21/2009

 

$

21.95

 

Open Market

 

RH Fund 6, L.P.

 

Sale

 

8,827

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors VIII, L.P.

 

Sale

 

33,721

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors IX, L.P.

 

Sale

 

10,398

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors X, L.P.

 

Sale

 

11,796

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors XV, L.P.

 

Sale

 

4,799

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors XVI, L.P.

 

Sale

 

3,515

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors XX, L.P.

 

Sale

 

3,532

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors XXII, L.P.

 

Sale

 

7,433

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors XXIII, L.P.

 

Sale

 

4,191

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

1,677

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Coast Partners, L.P.

 

Sale

 

133

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Fund Partners, L.P.

 

Sale

 

849

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors Alpha Fund I, L.P.

 

Sale

 

9,596

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors LLC

 

Sale

 

19,819

 

8/21/2009

 

$

21.95

 

Open Market

 

 



 

Relational Investors LLC

 

Sale

 

11,258

 

8/21/2009

 

$

21.95

 

Open Market

 

Relational Investors LLC

 

Sale

 

30,968

 

8/21/2009

 

$

21.95

 

Open Market

 

 


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