HOFMANN PETER A 4
4 · PHOENIX COMPANIES INC/DE · Filed Mar 4, 2011
Insider Transaction Report
Form 4
HOFMANN PETER A
SrEVP & CFO
Transactions
- Award
Restricted Stock Unit (2010)
2011-03-02+90,114.21→ 90,114.21 totalExercise: $0.00→ Common (90,114.21 underlying)
Holdings
- 88,022.439
Common
- 54,037
Stock Option (Right to Buy)
Exercise: $9.84Exp: 2018-02-13→ Common (54,037 underlying) - 15,712.119
Stock Option (Right to Buy)
Exercise: $2.84Exp: 2020-03-08→ Common (15,712.119 underlying) - 40,585
Stock Option (Right to Buy)
Exercise: $10.79Exp: 2014-04-29→ Common (40,585 underlying) - 23,690.913(indirect: By 401(k))
Common
- 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)
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.