Statement of Changes in Beneficial Ownership (4)
August 18 2020 - 3:04PM
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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3235-0287
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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
*
Sharpe Matthew P. |
2. Issuer Name and Ticker or Trading Symbol
HORACE MANN EDUCATORS CORP /DE/
[
HMN
]
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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) Executive Vice President |
(Last)
(First)
(Middle)
1 HORACE MANN PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/14/2020 |
(Street)
SPRINGFIELD, IL 62715
(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 | 8/14/2020 | | M | | 2018 | A | $28.88 | 70587.303 (1) | D | |
Common Stock | 8/14/2020 | | M | | 9612 | A | $31.01 | 80199.303 (2) | D | |
Common Stock | 8/14/2020 | | S | | 9612 | D | $39.6297 (3) | 70587.303 (1) | D | |
Common Stock | 8/17/2020 | | M | | 1682 | A | $28.88 | 72269.303 (4) | D | |
Common Stock | 8/17/2020 | | M | | 1162 | A | $32.35 | 73431.303 (5) | D | |
Common Stock | 8/17/2020 | | M | | 7464 | A | $31.01 | 80895.303 (6) | D | |
Common Stock | 8/17/2020 | | S | | 8626 | D | $39.2001 (7) | 72269.303 (4) | 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 |
Employee Stock Option (right to buy) | $28.88 | 8/14/2020 | | M | | | 2018 | 3/5/2018 | 3/5/2024 | Common Stock | 2018 | $0 | 2795 | D | |
Employee Stock Option (right to buy) | $31.01 | 8/14/2020 | | M | | | 9612 | 3/9/2018 | 3/9/2026 | Common Stock | 9612 | $0 | 20360 | D | |
Employee Stock Option (right to buy) | $28.88 | 8/17/2020 | | M | | | 1682 | 3/5/2018 | 3/5/2024 | Common Stock | 1682 | $0 | 1113 | D | |
Employee Stock Option (right to buy) | $32.35 | 8/17/2020 | | M | | | 1162 | 3/4/2016 | 3/4/2025 | Common Stock | 1162 | $0 | 12290 | D | |
Employee Stock Option (right to buy) | $31.01 | 8/17/2020 | | M | | | 7464 | 3/9/2019 | 3/9/2026 | Common Stock | 7464 | $0 | 12896 | D | |
Explanation of Responses: |
(1) | Represents 50,082.303 vested restricted stock units and 20,505 shares of Common Stock. |
(2) | Represents 50,082.303 vested restricted stock units and 30,117 shares of Common Stock. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.55 to $39.72. |
(4) | Represents 50,082.303 vested restricted stock units and 22,187 shares of Common Stock. |
(5) | Represents 50,082.303 vested restricted stock units and 23,349 shares of Common Stock. |
(6) | Represents 50,082.303 vested restricted stock units and 30,813 shares of Common Stock. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.05 to $39.53. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sharpe Matthew P. 1 HORACE MANN PLAZA SPRINGFIELD, IL 62715 |
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| Executive Vice President |
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Signatures
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Linea K. Michael, Attorney in Fact for Matthew P. Sharpe | | 8/18/2020 |
**Signature of Reporting Person | Date |
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