4//SEC Filing
WILKOS CHRISTOPHER M 4
Accession 0001225208-11-008155
CIK 0001129633other
Filed
Mar 1, 7:00 PM ET
Accepted
Mar 2, 4:29 PM ET
Size
13.2 KB
Accession
0001225208-11-008155
Insider Transaction Report
Form 4
WILKOS CHRISTOPHER M
EVP, Chief Investment Officer
Transactions
- Exercise/Conversion
Common
2011-03-01+1,029.702→ 45,051.754 total - Tax Payment
Common
2011-03-01$2.50/sh−383$958→ 44,668.754 total
Holdings
- 26,655.18(indirect: By 401(k))
Common
- 27,463
Stock Option (Right to Buy)
Exercise: $9.84Exp: 2018-02-13→ Common (27,463 underlying) - 46,382
Stock Option (Right to Buy)
Exercise: $13.98Exp: 2012-06-25→ Common (46,382 underlying) - 16,636
Stock Option (Right to Buy)
Exercise: $2.84Exp: 2020-03-08→ Common (16,636 underlying) - 1,029.702
Restricted Stock Units
→ Common (1,029.702 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]Pursuant to the terms of Mr. Wilkos's employment, he received 3,090.266 restricted stock units ("RSUs"), each representing one share of stock. The RSUs vest on the earlier of (a) three approximately equal installments on February 29, 2009, March 1, 2010 and March 1, 2011, respectively or (b) (1) a change in control and (2) a termination of the Mr. Wilkos's employment by himself for good reason or by the Company other than for cause. The underlying shares of stock will become deliverable, without consideration, on dates indicated above. Thereafter, the terms of employment will require him to retain a percentage of the shares in accordance with the ownership levels applicable under the Company's stock ownership and retention guidelines. This award does not include other RSUs that Mr. Wilkos has the opportunity to earn upon the achievement of performance criteria unrelated to the price of the underlying securities. Such units are not "derivative securities" under Rule 16a-1(c).
- [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 0001491660
Filing Metadata
- Form type
- 4
- Filed
- Mar 1, 7:00 PM ET
- Accepted
- Mar 2, 4:29 PM ET
- Size
- 13.2 KB