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4//SEC Filing

Cassidy Edward W 4

Accession 0001225208-13-007483

CIK 0001129633other
View on SEC.govCompany Profile

Filed

Mar 11, 8:00 PM ET

Accepted

Mar 12, 4:36 PM ET

Size

15.6 KB

Accession

0001225208-13-007483

Insider Transaction Report

Form 4
Period: 2013-03-08
PHOENIX COMPANIES INC/DEPNX
Cassidy Edward W
Executive Vice President
Transactions
  • Exercise/Conversion

    Common

    2013-03-08+4,240.707→ 6,290.707 total
  • Exercise/Conversion

    Restricted Stock Unit (2010)

    2013-03-08−4,240.707→ 0 total
    Exercise: $0.00→ Common (4,240.707 underlying)
  • Tax Payment

    Common

    2013-03-08$26.94/sh−1,427.707$38,462→ 4,863 total
Holdings

  • Common

    (indirect: By 401(k))
    4,921.185

  • Stock Option (Right to Buy)

    Exercise: $196.80Exp: 2018-02-13→ Common (2,998 underlying)
    2,998

  • Stock Option (Right to Buy)

    Exercise: $190.60Exp: 2018-03-05→ Common (1,450 underlying)
    1,450

  • Restricted Stock Units (Deferral)

    → Common (564.771 underlying)
    564.771

  • Stock Option (Right to Buy)

    Exercise: $250.80Exp: 2017-02-08→ Common (870 underlying)
    870

  • Stock Option (Right to Buy)

    Exercise: $56.80Exp: 2020-03-08→ Common (740 underlying)
    740
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 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.
  • [F3]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.
  • [F4]The options vested in approximately three equal installments on each of the first three anniversaries of the grant.

Documents

1 file

Issuer

PHOENIX COMPANIES INC/DE

CIK 0001129633

→
Entity typeother

Related Parties

1
  • filerCIK 0001476706

Filing Metadata

Form type
4
Filed
Mar 11, 8:00 PM ET
Accepted
Mar 12, 4:36 PM ET
Size
15.6 KB
View on SEC.gov