4//SEC Filing
HOFMANN PETER A 4
Accession 0001225208-10-008453
CIK 0001129633other
Filed
Mar 16, 8:00 PM ET
Accepted
Mar 17, 4:24 PM ET
Size
22.1 KB
Accession
0001225208-10-008453
Insider Transaction Report
Form 4
HOFMANN PETER A
SrEVP & CFO
Transactions
- Tax Payment
Restricted Stock Units (030508)
2010-03-05−3,108.085→ 0 total→ Common (3,108.085 underlying) - Exercise/Conversion
Common
2010-03-05+2,001→ 48,743.194 total - Exercise/Conversion
Restricted Stock Units (030508)
2010-03-05−2,001→ 3,108.085 total→ Common (2,001 underlying) - Award
Stock Option (Right to Buy)
2010-03-08+15,712.119→ 15,712.119 totalExercise: $2.84Exp: 2020-03-08→ Common (15,712.119 underlying)
Holdings
- 38,322.777
Restricted Stock Units (Employment)
→ Common (38,322.777 underlying) - 21,614.468
Restricted Stock Units (021308)
→ Common (21,614.468 underlying) - 28,988
Stock Option (Right to Buy)
Exercise: $12.54Exp: 2017-02-08→ Common (28,988 underlying) - 5,797
Stock Option (Right to Buy)
Exercise: $13.98Exp: 2012-06-25→ Common (5,797 underlying) - 40,585
Stock Option (Right to Buy)
Exercise: $10.79Exp: 2014-04-29→ Common (40,585 underlying) - 17,898.356(indirect: By 401(k))
Common
- 54,037
Stock Option (Right to Buy)
Exercise: $9.84Exp: 2018-02-13→ Common (54,037 underlying)
Footnotes (7)
- [F1]Includes 1,324.950 shares acquired through The Phoenix Employee Stock Purchase Plan.
- [F2]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.
- [F3]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.
- [F4]The options vest in approximately three equal installments on each of the first three anniversaries of the grant.
- [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. Hofmann's employment, he received 33,049 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.
Documents
Issuer
PHOENIX COMPANIES INC/DE
CIK 0001129633
Entity typeother
Related Parties
1- filerCIK 0001222406
Filing Metadata
- Form type
- 4
- Filed
- Mar 16, 8:00 PM ET
- Accepted
- Mar 17, 4:24 PM ET
- Size
- 22.1 KB