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4//SEC Filing

HOFMANN PETER A 4

Accession 0001225208-11-008864

CIK 0001129633other
View on SEC.govCompany Profile

Filed

Mar 3, 7:00 PM ET

Accepted

Mar 4, 6:22 PM ET

Size

13.5 KB

Accession

0001225208-11-008864

Insider Transaction Report

Form 4
Period: 2011-03-02
PHOENIX COMPANIES INC/DEPNX
HOFMANN PETER A
SrEVP & CFO
Transactions
  • Award

    Restricted Stock Unit (2010)

    2011-03-02+90,114.21→ 90,114.21 total
    Exercise: $0.00→ Common (90,114.21 underlying)
Holdings

  • Common

    88,022.439

  • Stock Option (Right to Buy)

    Exercise: $9.84Exp: 2018-02-13→ Common (54,037 underlying)
    54,037

  • Stock Option (Right to Buy)

    Exercise: $2.84Exp: 2020-03-08→ Common (15,712.119 underlying)
    15,712.119

  • Stock Option (Right to Buy)

    Exercise: $10.79Exp: 2014-04-29→ Common (40,585 underlying)
    40,585

  • Common

    (indirect: By 401(k))
    23,690.913

  • Stock Option (Right to Buy)

    Exercise: $12.54Exp: 2017-02-08→ Common (28,988 underlying)
    28,988

  • Stock Option (Right to Buy)

    Exercise: $13.98Exp: 2012-06-25→ Common (5,797 underlying)
    5,797
Footnotes (6)
  • [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 the Reporting Person's 2010 long-term incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) March 8, 2013 or (b) a change of control.
  • [F4]The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
  • [F5]The options vest in approximately three equal installments on each of the first three anniversaries of the grant.
  • [F6]The number of options to purchase shares of Company stock and the exercise price thereof covered by this grant have been adjusted arising out of the Company's spin-off, effective December 31, 2008, of its former subsidiary, Virtus Investment Partners, Inc.

Documents

1 file

Issuer

PHOENIX COMPANIES INC/DE

CIK 0001129633

→
Entity typeother

Related Parties

1
  • filerCIK 0001222406

Filing Metadata

Form type
4
Filed
Mar 3, 7:00 PM ET
Accepted
Mar 4, 6:22 PM ET
Size
13.5 KB
View on SEC.gov