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