Filing Details
- Accession Number:
- 0001225208-12-011509
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-08 16:27:55
- Reporting Period:
- 2012-05-04
- Filing Date:
- 2012-05-08
- Accepted Time:
- 2012-05-08 16:27:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1419896 | R. David Pellerin | One American Row Hartford CT 06102-5056 | Svp & Interim Chief Accounting | No | Yes | 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 | 2012-05-04 | 15,000 | $1.87 | 55,873 | No | 4 | P | Direct | |
| Common | Acquisiton | 2012-05-04 | 4,000 | $1.90 | 59,873 | No | 4 | P | Direct | |
| Common | Acquisiton | 2012-05-04 | 4,000 | $1.89 | 63,873 | No | 4 | P | Direct | |
| Common | Acquisiton | 2012-05-04 | 3,500 | $1.87 | 67,373 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 20,898 | Indirect | By 401(k) |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Restricted Stock Unit (2010) | $0.00 | 38,166 | 38,166 | Direct | ||
| Common | Stock Option (Right to Buy) | $12.54 | 2017-02-08 | 23,191 | 23,191 | Direct | |
| Common | Stock Option (Right to Buy) | $9.84 | 2018-02-13 | 22,886 | 22,886 | Direct | |
| Common | Stock Option (Right to Buy) | $2.84 | 2020-03-08 | 6,655 | 6,655 | Direct | |
| Common | Stock Option (Right to Buy) | $13.98 | 2012-06-25 | 23,190 | 23,190 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 38,166 | 38,166 | Direct | |
| 2017-02-08 | 23,191 | 23,191 | Direct |
| 2018-02-13 | 22,886 | 22,886 | Direct |
| 2020-03-08 | 6,655 | 6,655 | Direct |
| 2012-06-25 | 23,190 | 23,190 | Direct |
Footnotes
- Represents the Reporting Person's pro rata portion of the stock held in the PNX Common Stock Fund as of the date of the event requiring statement pursuant to the Phoenix Savings and Investment Plan. This information is based on information provided by the Plan Trustee as of that date.
- The Restricted Stock Units ("RSUs") represent the Reporting Person's 2010 long-term incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) March 8, 2013 or (b) a change of control.
- The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
- The options vest in approximately three equal installments on each of the first three anniversaries of the grant.
Billionaire Hedge Funds
