4//SEC Filing
HOFMANN PETER A 4
Accession 0001225208-10-025007
CIK 0001129633other
Filed
Nov 15, 7:00 PM ET
Accepted
Nov 16, 6:13 PM ET
Size
9.9 KB
Accession
0001225208-10-025007
Insider Transaction Report
Form 4
HOFMANN PETER A
SrEVP & CFO
Transactions
- Tax Payment
Common
2010-11-13$2.45/sh−12,628$30,939→ 74,437.971 total - Exercise/Conversion
Common
2010-11-13+38,322.777→ 87,065.971 total - Exercise/Conversion
Restricted Stock Units (Employment)
2010-11-13−38,322.777→ 0 totalExercise: $0.00→ Common (38,322.777 underlying)
Holdings
- 22,097.596(indirect: By 401(k))
Common
Footnotes (3)
- [F1]Includes 3,185.111 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]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.
Documents
Issuer
PHOENIX COMPANIES INC/DE
CIK 0001129633
Entity typeother
Related Parties
1- filerCIK 0001222406
Filing Metadata
- Form type
- 4
- Filed
- Nov 15, 7:00 PM ET
- Accepted
- Nov 16, 6:13 PM ET
- Size
- 9.9 KB