4//SEC Filing
LaGrasse John V 4
Accession 0001225208-12-008209
CIK 0001129633other
Filed
Mar 21, 8:00 PM ET
Accepted
Mar 22, 4:14 PM ET
Size
16.3 KB
Accession
0001225208-12-008209
Insider Transaction Report
Form 4
LaGrasse John V
EVP, Alt Retirement Solutions
Transactions
- Purchase
Common
2012-03-21$2.19/sh+21,000$45,984→ 85,928.937 total - Purchase
Common
2012-03-20$2.20/sh+15,477$33,995→ 64,928.937 total
Holdings
- 3,060.71(indirect: By 401(k))
Common
- 35,283
Stock Option (Right to Buy)
Exercise: $9.84Exp: 2018-02-13→ Common (35,283 underlying) - 28,988
Stock Option (Right to Buy)
Exercise: $12.54Exp: 2017-02-08→ Common (28,988 underlying) - 984.6
Restricted Stock Units
→ Common (984.6 underlying) - 10,259
Stock Option (Right to Buy)
Exercise: $2.84Exp: 2020-03-08→ Common (10,259 underlying) - 23,191
Stock Option (Right to Buy)
Exercise: $9.53Exp: 2014-11-17→ Common (23,191 underlying) - 58,839.24
Restricted Stock Unit (2010)
Exercise: $0.00→ Common (58,839.24 underlying)
Footnotes (8)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.19 to $2.20, inclusive. The Reporting Person undertakes to provide to The Phoenix Companies, Inc., any security holder of The Phoenix Companies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.
- [F2]Includes 2,375 shares transferred from the Reporting Person's 401(k) acount to an individual retirement account.
- [F3]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.185 to $2.19, inclusive. The Reporting Person undertakes to provide to The Phoenix Companies, Inc., any security holder of The Phoenix Companies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.
- [F4]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.
- [F5]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.
- [F6]Pursuant to the terms of the Reporting Person's employment, the Reporting Person previously received the reported restricted stock units ("RSUs"), each RSU representing one share of stock. The underlying shares of common stock thereafter became deliverable, without consideration. Pursuant to a previous election, the Reporting Person deferred receipt of shares for the RSUs.
- [F7]The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
- [F8]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 0001308209
Filing Metadata
- Form type
- 4
- Filed
- Mar 21, 8:00 PM ET
- Accepted
- Mar 22, 4:14 PM ET
- Size
- 16.3 KB