SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Swift Christopher

(Last) (First) (Middle)
ONE HARTFORD PLAZA

(Street)
HARTFORD CT 06155

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
HARTFORD FINANCIAL SERVICES GROUP INC/DE [ HIG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
3. Date of Earliest Transaction (Month/Day/Year)
11/01/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/01/2018 F(1) 14,862 D $45.14 123,965.78 D
Common Stock 3,750 I By Spouse
Common Stock 24,850 I Swift Family Gift Trust
Common Stock 44,200 I Swift Family Legacy Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $20.63 (2) 02/28/2022 Common Stock 148,448 148,448 D
Stock Option $24.15 (3) 03/05/2023 Common Stock 141,388 141,388 D
Stock Option $28.91 (4) 03/01/2021 Common Stock 92,937 92,937 D
Stock Option $35.83 (5) 03/04/2024 Common Stock 103,872 103,872 D
Stock Option $41.25 (6) 03/03/2025 Common Stock 301,887 301,887 D
Stock Option $43.59 (7) 03/01/2026 Common Stock 294,481 294,481 D
Stock Option $48.89 (8) 02/28/2027 Common Stock 302,908 302,908 D
Stock Option $53.81 (9) 02/27/2028 Common Stock 284,819 284,819 D
Explanation of Responses:
1. Transaction involving a disposition to the Company of equity securities in satisfaction of tax withholding obligations in connection with a distribution to the reporting person of restricted stock units pursuant to The Hartford's 2010 Incentive Stock Plan.
2. The options became fully exercisable on February 28, 2015, the third anniversary of the grant date.
3. The options became fully exercisable on March 5, 2016, the third anniversary of the grant date.
4. The options became fully exercisable on March 1, 2014, the third anniversary of the grant date.
5. The options became fully exercisable on March 4, 2017, the third anniversary of the grant date.
6. The options became fully exercisable on March 3, 2018, the third anniversary of the grant date.
7. One-third of the options became exercisable on March 1, 2017, an additional one-third of the options became exercisable on March 1, 2018 and the remaining one-third of the options will become exercisable on March 1, 2019, the third anniversary of the grant date.
8. One-third of the options became exercisable on February 28, 2018, an additional one-third of the options will become exercisable on February 28, 2019 and the remaining one-third of the options will become exercisable on February 28, 2020, the third anniversary of the grant date.
9. One-third of the options will become exercisable on February 27, 2019, an additional one-third of the options will become exercisable on February 27, 2020 and the remaining one-third of the options will become exercisable on February 27, 2021, the third anniversary of the grant date.
/s/ Anthony J. Salerno, Attorney-in-Fact 11/02/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.