Filing Details
- Accession Number:
- 0001225208-12-013615
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-06-04 17:23:45
- Reporting Period:
- 2012-06-01
- Filing Date:
- 2012-06-04
- Accepted Time:
- 2012-06-04 17:23:45
- 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 |
---|---|---|---|---|---|---|---|
1222411 | J Bonnie Malley | One American Row Hartford CT 06102-5056 | Evp, Hr & Corp Admin | 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 | 2012-06-01 | 65,000 | $1.53 | 117,333 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 67,598 | 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 | 64,882 | 64,882 | Direct | ||
Common | Stock Option (Right to Buy) | $10.56 | 2014-01-02 | 28,989 | 28,989 | Direct | |
Common | Stock Option (Right to Buy) | $12.50 | 2016-02-02 | 23,191 | 23,191 | Direct | |
Common | Stock Option (Right to Buy) | $12.54 | 2017-02-08 | 28,988 | 28,988 | Direct | |
Common | Stock Option (Right to Buy) | $9.84 | 2018-02-13 | 38,907 | 38,907 | Direct | |
Common | Stock Option (Right to Buy) | $2.84 | 2020-03-08 | 11,313 | 11,313 | Direct | |
Common | Stock Option (Right to Buy) | $13.98 | 2012-06-25 | 63,775 | 63,775 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
64,882 | 64,882 | Direct | |
2014-01-02 | 28,989 | 28,989 | Direct |
2016-02-02 | 23,191 | 23,191 | Direct |
2017-02-08 | 28,988 | 28,988 | Direct |
2018-02-13 | 38,907 | 38,907 | Direct |
2020-03-08 | 11,313 | 11,313 | Direct |
2012-06-25 | 63,775 | 63,775 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.46 to $1.57, 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.
- Includes shares acquired through The Phoenix Employee Stock Purchase Plan.
- 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.