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 | ||||
Stock Options | Â (3) | 05/12/2021 | Common Stock | 8,000 | $ 17.26 | D | Â |
Stock Options | Â (4) | 02/25/2025 | Common Stock | 11,120 | $ 16.42 | D | Â |
Stock Options | Â (5) | 02/23/2026 | Common Stock | 13,300 | $ 17.38 | D | Â |
Stock Options | Â (6) | 02/23/2027 | Common Stock | 5,750 | $ 21.06 | D | Â |
Stock Options | Â (7) | 02/21/2028 | Common Stock | 10,310 | $ 23.33 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schwartz Joel H. C/O CNO FINANCIAL GROUP, INC. 11825 NORTH PENNSYLVANIA STREET CARMEL, IN 46032 |
 |  |  President, Colonial Penn |  |
Karl W. Kindig, Attorney-in-Fact | 05/15/2018 | |
**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 restricted stock and 10,567 shares underlying restricted stock units which vest in annual installments beginning March 25, 2019 |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | One-half of these options vested on May 12, 2016 and one-half vested on May 12, 2017. |
(4) | One-half of these options vested on February 25, 2017 and one-half vested on February 25, 2018. |
(5) | One-half of these options vested on February 23, 2018 and one-half will vest on February 23, 2019. |
(6) | One-half of these options vest on February 23, 2019 and one-half vest on February 23, 2020. |
(7) | One-half of these options vest on February 21, 2020 and one-half vest on February 21, 2021. |