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4//SEC Filing

Pellerin DAVID R. 4

Accession 0001225208-09-006490

CIK 0001129633other
View on SEC.govCompany Profile

Filed

Mar 5, 7:00 PM ET

Accepted

Mar 6, 1:40 PM ET

Size

21.4 KB

Accession

0001225208-09-006490

Insider Transaction Report

Form 4
Period: 2009-03-05
PHOENIX COMPANIES INC/DEPNX
Pellerin DAVID R.
SVP & Chief Accounting Officer
Transactions
  • Exercise/Conversion

    Common

    2009-03-05+693.191→ 8,053.224 total
  • Tax Payment

    Restricted Stock Units (030508)

    2009-03-05−420→ 1,806.383 total
    Exercise: $0.00→ Common (420 underlying)
  • Exercise/Conversion

    Restricted Stock Units (030508)

    2009-03-05−693.191→ 1,113.192 total
    Exercise: $0.00→ Common (693.191 underlying)
Holdings

  • Common

    (indirect: By 401(k))
    15,680.875

  • Restricted Stock Units

    Exercise: $0.00→ Common (5,797.872 underlying)
    5,797.872

  • Restricted Stock Units (021308)

    → Common (9,154.84 underlying)
    9,154.84

  • Restricted Stock Units (Employment)

    Exercise: $0.00→ Common (6,649 underlying)
    6,649

  • Stock Option (Right to Buy)

    Exercise: $13.98Exp: 2012-06-25→ Common (23,190 underlying)
    23,190

  • Stock Option (Right to Buy)

    Exercise: $12.54Exp: 2017-02-08→ Common (23,191 underlying)
    23,191

  • Stock Option (Right to Buy)

    Exercise: $9.84Exp: 2018-02-13→ Common (22,886 underlying)
    22,886
Footnotes (8)
  • [F1]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.
  • [F2]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.
  • [F3]In accordance with the provisions of the 2003 Restricted Stock, Restricted Stock Unit and Long-Term Incentive Plan as approved by the shareholders, the Reporting Person has elected to have the reported units withheld for the purpose of satisfying tax withholding obligations.
  • [F4]Pursuant to the terms of Mr. Pellerin's employment, he received the reported Restricted Stock Units ("RSUs"), each representing one share of stock. The RSUs vest on the earlier of (a) February 15, 2010 or (b) a change in control and a termination of Mr. Pellerin'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. Pellerin'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.
  • [F5]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.
  • [F6]Pursuant to the terms of Mr. Pellerin's employment, he received the reported Restricted Stock Units ("RSUs"), each representing one share of stock. The RSUs vest on the earlier of (a) October 25, 2010 or (b) a change in control. In the event the RSUs vest, the underlying shares of common stock will immediately become deliverable, without consideration. Thereafter, the terms of Mr. Pellerin'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 0001419896

Filing Metadata

Form type
4
Filed
Mar 5, 7:00 PM ET
Accepted
Mar 6, 1:40 PM ET
Size
21.4 KB
View on SEC.gov