4//SEC Filing
POLKINGHORN PHILIP K 4
Accession 0001225208-11-005970
CIK 0001129633other
Filed
Feb 14, 7:00 PM ET
Accepted
Feb 15, 4:11 PM ET
Size
15.1 KB
Accession
0001225208-11-005970
Insider Transaction Report
Form 4
POLKINGHORN PHILIP K
Senior EVP
Transactions
- Exercise/Conversion
Common
2011-02-11+31,404.755→ 233,636.697 total - Tax Payment
Common
2011-02-11$2.67/sh−11,343$30,286→ 222,293.697 total - Exercise/Conversion
Restricted Stock Units (021308)
2011-02-11−31,404.755→ 0 total→ Common (31,404.755 underlying)
Holdings
- 15,980.15
Stock Option (Right to Buy)
Exercise: $2.84Exp: 2020-03-08→ Common (15,980.15 underlying) - 78,512
Stock Option (Right to Buy)
Exercise: $9.84Exp: 2018-02-13→ Common (78,512 underlying) - 1,341.528(indirect: By 401(k))
Common
- 52,180
Stock Option (Right to Buy)
Exercise: $12.51Exp: 2016-02-02→ Common (52,180 underlying) - 57,978
Stock Option (Right to Buy)
Exercise: $12.27Exp: 2014-03-08→ Common (57,978 underlying)
Footnotes (4)
- [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 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.
- [F3]The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
- [F4]The options vest 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 0001283029
Filing Metadata
- Form type
- 4
- Filed
- Feb 14, 7:00 PM ET
- Accepted
- Feb 15, 4:11 PM ET
- Size
- 15.1 KB