Filing Details
- Accession Number:
- 0001225208-12-007007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-07 16:13:45
- Reporting Period:
- 2012-03-06
- Filing Date:
- 2012-03-07
- Accepted Time:
- 2012-03-07 16:13:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1129633 | Phoenix Companies Inc | PNX | Life Insurance (6311) | 060493340 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1216405 | Maynard Ann Gray | One American Row Hartford CT 06102-5056 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common | Acquisiton | 2012-03-06 | 15,000 | $1.99 | 55,000 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Restricted Stock Units (Director Retainer) | $0.00 | 67,502 | 67,502 | Direct | ||
Common | Stock Option (Right to Buy) | $13.98 | 2003-06-25 | 15,886 | 15,886 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
67,502 | 67,502 | Direct | |
15,886 | 15,886 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 to $2.00, inclusive. The Reporting Person undertakes to provide to The Phoenix Companies, Inc., any security holder of The Phoenix Companies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.
- In accordance with the Company's 2003 Restricted Stock, Restricted Stock Unit and Long-Term Incentive Plan as approved by the shareholders, the Reporting Person received the reported Restricted Stock Units ("RSUs") as a portion of the Reporting Person's compensation as a member of the Board of Directors. Each RSU represents the right to receive one share of common stock and the underlying shares of common stock will be issued, without consideration, following the termination of the Reporting Person's service as a member of the Board of Directors.
- The options may be exercised until the earlier of: (a) three years after the termination of service on the Board of Directors; or (b) the tenth anniversary of the date the option was granted.