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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 | ||||||||
Employee Stock Option (right to buy) | $ 20.23 | 03/06/2007 | A | 5,660 | 08/08/1988(8) | 03/06/2014 | Common Stock | 5,660 | $ 0 (2) | 5,660 | D | ||||
Phantom Stock Units | $ 0 (9) | 03/15/2007 | A | 1,955.453 | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 1,955.453 | $ 20.25 | 1,955.453 | D | ||||
Phantom Stock Units | $ 0 (9) | 03/30/2007(11) | A | 34.466 (11) | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 34.466 (11) | $ 20.55 | 34.466 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CONKLIN BRET A 1 HORACE MANN PLAZA SPRINGFIELD, IL 62715 |
SVP & Controller |
Rhonda R. Armstead, Attorney in Fact for Bret A. Conklin | 04/09/2008 | |
**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) | The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on December 31, 2008. |
(2) | Granted as compensation for services. |
(3) | The number of securities reported represents the number of securities owned immediately following the reported transaction. |
(4) | Represents 3,379.342 restricted stock units and 1,209.040 shares of Common Stock. |
(5) | The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on December 31, 2009. |
(6) | Represents 3,856.513 restricted stock units and 1,495.293 shares of Common Stock. |
(7) | The number of securities reported represents the number of securities owned by the Horace Mann Supplemental Retirement & Savings Trust (401(k)) immediately following the transaction reported above on March 6, 2007. |
(8) | The option began vesting in four equal annual installments on March 6, 2008. |
(9) | Each phantom stock unit is the economic equivalent of one share of Common Stock. |
(10) | The phantom stock units are estimated based on the market price of Horace Mann Educators Corporation Common Stock and are acquired under the Horace Mann Educators Corporation Deferred Compensation Plan for employees which are to be settled 100% in cash on the earlier of the reporting person's retirement date, termination date or a date specified by the reporting person. |
(11) | The transaction previously reported on April 3, 2007 is being amended to correct the number of phantom stock units acquired. |