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
  1. 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.
  2. Includes shares acquired through The Phoenix Employee Stock Purchase Plan.
  3. 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.
  4. 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.
  5. The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
  6. The options vest in approximately three equal installments on each of the first three anniversaries of the grant.