0001225208-12-008209.txt : 20120322
0001225208-12-008209.hdr.sgml : 20120322
20120322161405
ACCESSION NUMBER: 0001225208-12-008209
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120320
FILED AS OF DATE: 20120322
DATE AS OF CHANGE: 20120322
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LaGrasse John V
CENTRAL INDEX KEY: 0001308209
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16517
FILM NUMBER: 12709447
MAIL ADDRESS:
STREET 1: ONE AMERICAN ROW
CITY: HARTFORD
STATE: CT
ZIP: 061025056
ISSUER:
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
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
4
1
doc4.xml
X0304
4
2012-03-20
0001129633
PHOENIX COMPANIES INC/DE
PNX
0001308209
LaGrasse John V
ONE AMERICAN ROW
HARTFORD
CT
06102-5056
1
EVP, Alt Retirement Solutions
Common
2012-03-20
4
P
0
15477.0000
2.1965
A
64928.9370
D
Common
2012-03-21
4
P
0
21000.0000
2.1897
A
85928.9370
D
Common
3060.7100
I
By 401(k)
Restricted Stock Unit (2010)
0.0000
Common
58839.2400
58839.2400
D
Restricted Stock Units
Common
984.6000
984.6000
D
Stock Option (Right to Buy)
12.5400
2017-02-08
Common
28988.0000
28988.0000
D
Stock Option (Right to Buy)
9.8400
2018-02-13
Common
35283.0000
35283.0000
D
Stock Option (Right to Buy)
2.8400
2020-03-08
Common
10259.0000
10259.0000
D
Stock Option (Right to Buy)
9.5300
2014-11-17
Common
23191.0000
23191.0000
D
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.
Includes 2,375 shares transferred from the Reporting Person's 401(k) acount to an individual retirement account.
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.
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.
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.
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.
The options vested in approximately three equal installments on each of the first three anniversaries of the grant.
The options vest in approximately three equal installments on each of the first three anniversaries of the grant.
/s/ John H. Beers, Attorney-in-Fact
2012-03-22