0000315032-14-000014.txt : 20140213 0000315032-14-000014.hdr.sgml : 20140213 20140212174007 ACCESSION NUMBER: 0000315032-14-000014 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHOENIX COMPANIES INC/DE CENTRAL INDEX KEY: 0001129633 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 060493340 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-77958 FILM NUMBER: 14601684 BUSINESS ADDRESS: STREET 1: ONE AMERICAN ROW STREET 2: PO BOX 5056 CITY: HARTFORD STATE: CT ZIP: 061025056 BUSINESS PHONE: 8604035000 MAIL ADDRESS: STREET 1: ONE AMERICAN ROW STREET 2: PO BOX 5056 CITY: HARTFORD STATE: CT ZIP: 061025056 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STATE FARM MUTUAL AUTOMOBILE INSURANCE CO CENTRAL INDEX KEY: 0000315032 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 370533100 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE STATE FARM PLAZA CITY: BLOOMINGTON STATE: IL ZIP: 61710 BUSINESS PHONE: 309-766-8411 MAIL ADDRESS: STREET 1: ONE STATE FARM PLAZA CITY: BLOOMINGTON STATE: IL ZIP: 61710 SC 13G 1 phoenix2014.txt 13G FILING Schedule 13G Page _____ of _____ Pages 1 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* 12 PHOENIX COMPANIES INC. ___________________________________________________ (Name of Issuer) COMMON SHARES ___________________________________________________ (Title of Class of Securities) 71902E604 ___________________________________________________ (Cusip Number) 12/31/2013 ___________________________________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Schedule 13G Page _____ of _____ Pages 2 7 CUSIP No. ___71902E604 ___ ___________________________________________________ 1. Name of Reporting Person and I.R.S. Identification No.: State Farm Mutual Automobile Insurance Company 37-0533100 ___________________________________________________ 2. Check the appropriate box if a Member of a Group (a) _____ (b) __X__ ___________________________________________________ 3. SEC USE ONLY: ___________________________________________________ 4. Citizenship or Place of Organization: Illinois ___________________________________________________ Number of 5. Sole Voting Power: 294,095 Shares ___________________________________________________ Beneficially 6. Shared Voting Power: 0 Owned by ___________________________________________________ Each 7. Sole Dispositive Power: 294,095 Reporting ___________________________________________________ Person With 8. Shared Dispositive Power: 0 ___________________________________________________ 9. Aggregate Amount Beneficially Owned by each Reporting Person: 294,095 ___________________________________________________ 10. Check Box if the Aggregate Amount in Row 9 excludes Certain Shares: ____ ___________________________________________________ 11. Percent of Class Represented by Amount in Row 9: 5.16 % ___________________________________________________ 12. Type of Reporting Person: IC Schedule 13G Page _____ of _____ Pages 3 7 CUSIP No. ___71902E604 ___ ___________________________________________________ 1. Name of Reporting Person and I.R.S. Identification No.: State Farm Investment Management Corp. ___________________________________________________ 2. Check the appropriate box if a Member of a Group (a) _____ (b) __X__ ___________________________________________________ 3. SEC USE ONLY: ___________________________________________________ 4. Citizenship or Place of Organization: Delaware ___________________________________________________ Number of 5. Sole Voting Power: 0 Shares ___________________________________________________ Beneficially 6. Shared Voting Power: 2,503 Owned by ___________________________________________________ Each 7. Sole Dispositive Power: 0 Reporting ___________________________________________________ Person With 8. Shared Dispositive Power: 2,503 ___________________________________________________ 9. Aggregate Amount Beneficially Owned by each Reporting Person: 2,503 ___________________________________________________ 10. Check Box if the Aggregate Amount in Row 9 excludes Certain Shares: ____ ___________________________________________________ 11. Percent of Class Represented by Amount in Row 9: 0.04 % ___________________________________________________ 12. Type of Reporting Person: IC Schedule 13G Page _____ of _____ Pages 4 7 Item 1(a) and (b). Name and Address of Issuer & Principal Executive Offices: _________________________________________________________ PHOENIX COMPANIES INC. ONE AMERICAN ROW HARTFORD, CT 06102-5056 Item 2(a). Name of Person Filing: State Farm Mutual Automobile Insurance _____________________ Company and related entities; See Item 8 and Exhibit A Item 2(b). Address of Principal Business Office: One State Farm Plaza ____________________________________ Bloomington, IL 61710 Item 2(c). Citizenship: United States ___________ Item 2(d) and (e). Title of Class of Securities and Cusip Number: See above. _____________________________________________ Item 3. This Schedule is being filed, in accordance with 240.13d-1(b). _____________________________________________________________ See Exhibit A attached. Item 4(a). Amount Beneficially Owned: 296,598 shares _________________________ Item 4(b). Percent of Class: 5.20 percent pursuant to Rule 13d-3(d)(1). ________________ Item 4(c). Number of shares as to which such person has: ____________________________________________ (i) Sole Power to vote or to direct the vote: 294,095 (ii) Shared power to vote or to direct the vote: 2,503 (iii) Sole Power to dispose or to direct disposition of: 294,095 (iv) Shared Power to dispose or to direct disposition of: 2,503 Item 5. Ownership of Five Percent or less of a Class: Not Applicable. ____________________________________________ Item 6. Ownership of More than Five Percent on Behalf of Another Person: N/A _______________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired __________________________________________________________________ the Security being Reported on by the Parent Holding Company: N/A ______________________________________________________________ Item 8. Identification and Classification of Members of the Group: _________________________________________________________ See Exhibit A attached. Item 9. Notice of Dissolution of Group: N/A ______________________________ Schedule 13G Page _____ of _____ Pages 5 7 Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 02/07/2014 STATE FARM MUTUAL AUTOMOBILE _________________________________ Date INSURANCE COMPANY STATE FARM LIFE INSURANCE COMPANY STATE FARM FIRE AND CASUALTY COMPANY STATE FARM INSURANCE COMPANIES STATE FARM INVESTMENT MANAGEMENT EMPLOYEE RETIREMENT TRUST CORP. STATE FARM INSURANCE COMPANIES STATE FARM ASSOCIATES FUNDS SAVINGS AND THRIFT PLAN FOR TRUST - STATE FARM GROWTH FUND U.S. EMPLOYEES STATE FARM ASSOCIATES FUNDS TRUST - STATE FARM BALANCED FUND STATE FARM MUTUAL FUND TRUST _________________________________ /s/ Paul N. Eckley _________________________________ Paul N. Eckley, Fiduciary of Paul N. Eckley, Vice President each of the above of each of the above Schedule 13G Page _____ of _____ Pages 6 7 EXHIBIT A This Exhibit lists the entities affiliated with State Farm Mutual Automobile Insurance Company ("Auto Company") which might be deemed to constitute a "group" with regard to the ownership of shares reported herein. Auto Company, an Illinois-domiciled insurance company, is the parent company of multiple wholly owned insurance company subsidiaries, including State Farm Life Insurance Company, and State Farm Fire and Casualty Company. Auto Company is also the parent company of State Farm Investment Management Corp. ("SFIMC"), which is a registered transfer agent under the Securities Exchange Act of 1934 and a registered investment advisor under the Investment Advisers Act of 1940. SFIMC serves as transfer agent and investment adviser to State Farm Associates' Funds Trust, State Farm Variable Product Trust, and State Farm Mutual Fund Trust, three Delaware Business Trusts that are registered investment companies under the Investment Company Act of 1940. Auto Company also sponsors two qualified retirement plans for the benefit of its employees, which plans are named the State Farm Insurance Companies Employee Retirement Trust and the State Farm Insurance Companies Savings and Thrift Plan for U.S. Employees (collectively the "Qualified Plans"). As part of its corporate structure, Auto Company has established an Investment Department. The Investment Department is directly or indirectly responsible for managing or overseeing the management of the investment and reinvestment of assets owned by each person that has joined in filing this Schedule 13G. Moreover, the Investment Department is responsible for voting proxies or overseeing the voting of proxies related to issuers the shares of which are held by one or more entities that have joined in filing this report. Each insurance company included in this report and SFIMC have established an Investment Committee that oversees the activities of the Investment Department in managing the firm's assets. The Trustees of the Qualified Plans perform a similar role in overseeing the investment of each plan's assets. Pursuant to Rule 13d-4 each person listed in the table below expressly disclaims "beneficial ownership" as to all shares as to which such person has no right to receive the proceeds of sale of the security and disclaims that it is part of a "group". Schedule 13G Page _____ of _____ Pages 7 7 Number of Shares based Classification on Proceeds Name Under Item 3 of Sale ____ ______________ ____________ State Farm Mutual Automobile Insurance Company IC 294,095 shares State Farm Life Insurance Company IC 0 shares State Farm Fire and Casualty Company IC 0 shares State Farm Investment Management Corp. IA 2,503 shares State Farm Associates Funds Trust - State Farm Growth Fund IV 0 shares State Farm Associates Funds Trust - State Farm Balanced Fund IV 0 shares State Farm International Life Insurance Company Ltd. IV 0 shares State Farm Insurance Companies Employee Retirement Trust EP 0 shares State Farm Insurance Companies Savings and Thrift Plan for U.S. Employees EP Equities Account 0 shares Balanced Account 0 shares State Farm Mutual Fund Trust IV 0 shares ----------------- 296,598 shares