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4//SEC Filing

HOFMANN PETER A 4

Accession 0001225208-09-002847

CIK 0001129633other
View on SEC.govCompany Profile

Filed

Feb 2, 7:00 PM ET

Accepted

Feb 3, 5:44 PM ET

Size

19.9 KB

Accession

0001225208-09-002847

Insider Transaction Report

Form 4
Period: 2009-02-02
PHOENIX COMPANIES INC/DEPNX
HOFMANN PETER A
SrEVP & CFO
Transactions
  • Exercise/Conversion

    Common

    2009-02-02+38,232.159→ 43,557.109 total
  • Exercise/Conversion

    Restricted Stock Units (Deferral)

    2009-02-02−38,232.159→ 0 total
    Exercise: $0.00→ Common (38,232.159 underlying)
Holdings

  • Common

    (indirect: By 401(k))
    5,890.16

  • Stock Option (Right to Buy)

    Exercise: $13.98Exp: 2012-06-25→ Common (5,797 underlying)
    5,797

  • Stock Option (Right to Buy)

    Exercise: $10.79Exp: 2014-04-29→ Common (40,585 underlying)
    40,585

  • Stock Option (Right to Buy)

    Exercise: $9.84Exp: 2018-02-13→ Common (54,037 underlying)
    54,037

  • Restricted Stock Units (021308)

    → Common (21,614.468 underlying)
    21,614.468

  • Restricted Stock Units (030508)

    → Common (10,218.17 underlying)
    10,218.17

  • Restricted Stock Units (Employment)

    Exercise: $0.00→ Common (38,322.777 underlying)
    38,322.777

  • Stock Option (Right to Buy)

    Exercise: $12.54Exp: 2017-02-08→ Common (28,988 underlying)
    28,988
Footnotes (8)
  • [F1]Reporting Person has previously been awarded Restricted StockUnits (RSUs), each RSU representing one share of Company stock, and has made a one-time election to convert those RSUs that have previously vested into shares of Company stock pursuant to resolution of the Company's board of directors.
  • [F2]Includes 1,324.950 shares acquired through The Phoenix Employee Stock Purchase Plan.
  • [F3]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.
  • [F4]The Restricted Stock Units ("RSUs") represent a portion of the Reporting Person's 2008 long-term incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) February 13, 2011 or (b) a change of control and a termination of the Reporting Person's employment other than for cause. In the event the RSUs vest, the underlying shares of stock will immediately become deliverable, without consideration. Thereafter, the terms of the Reporting Person's employment will require the Reporting Person to retain a fixed percentage of the shares in accordance with the ownership levels applicable to the Reporting Person under the Company's stock ownership and retention guidelines. Additionally, pro rata vesting would apply in the event of involuntary termination other than for cause or termination due to death, disability or approved retirement.
  • [F5]The Restricted Stock Units ("RSUs") represent a component of the Reporting Person's 2007 annual incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) two approximately equal installments on March 5, 2009 and March 5, 2010, respectively or (b) (1) a change in control and (2) a termination of the Reporting Person's employment by the Reporting Person for good reason or by the Company other than for cause. In the event the RSUs vest, the underlying shares of stock will immediately become deliverable, without consideration. Thereafter, the terms of the Reporting Person's employment will require the Reporting Person to retain a fixed percentage of the shares in accordance with the ownership levels applicable under the Company's stock ownership and retention guidelines. Additionally, pro rata vesting would apply in the event of involuntary termination other than for cause or termination due to death, disability or approved retirement.
  • [F6]Pursuant to the terms of Mr. Hofmann's employment, he received the reported Restricted Stock Units ("RSUs"), each representing one share of stock. The RSUs vest on the earlier of (a) November 13, 2010 or (b) a change in control and a termination of Mr. Hofmann's employment other than for cause. In the event the RSUs vest, the underlying shares of common stock will immediately become deliverable, without consideration. Thereafter, the terms of Mr. Hofmann's employment will require him to retain a fixed percentage of the shares in accordance with the ownership levels applicable to him under the Company's stock ownership and retention guidelines. Additionally, pro rata vesting would apply in the event of involuntary termination other than for cause or termination due to death, disability or approved retirement.
  • [F7]The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
  • [F8]The options vest in approximately three equal installments on each of the first three anniversaries of the grant.

Documents

1 file

Issuer

PHOENIX COMPANIES INC/DE

CIK 0001129633

→
Entity typeother

Related Parties

1
  • filerCIK 0001222406

Filing Metadata

Form type
4
Filed
Feb 2, 7:00 PM ET
Accepted
Feb 3, 5:44 PM ET
Size
19.9 KB
View on SEC.gov