0001225208-11-014764.txt : 20110518 0001225208-11-014764.hdr.sgml : 20110518 20110518161609 ACCESSION NUMBER: 0001225208-11-014764 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110517 FILED AS OF DATE: 20110518 DATE AS OF CHANGE: 20110518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mulrain John T CENTRAL INDEX KEY: 0001520306 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16517 FILM NUMBER: 11855079 MAIL ADDRESS: STREET 1: ONE AMERICAN ROW STREET 2: P.O. BOX 5056 CITY: HARTFORD STATE: CT ZIP: 06052 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 3 1 doc3.xml X0203 3 2011-05-17 0 0001129633 PHOENIX COMPANIES INC/DE PNX 0001520306 Mulrain John T ONE AMERICAN ROW HARTFORD CT 06102-5056 1 EVP, General Counsel & Secreta Common 23.0000 D Common 11948.1838 I By 401(k) Restricted Stock Unit (2010) 0.0000 Common 49222.1100 D Stock Option (Right to Buy) 2.8400 2020-03-08 Common 8582.0000 D Stock Option (Right to Buy) 13.9800 2012-06-25 Common 11595.0000 D 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. The options vest in approximately three equal installments on each of the first three anniversaries of the grant. The options vested in approximately three equal installments on each of the first three anniversaries of the grant. mulrainpoa.txt /s/ John H. Beers, Attorney-in-Fact 2011-05-18 EX-24 2 mulrainpoa.txt POWER OF ATTORNEY Know all by these presents, that the undersigned (the "Reporting Person") hereby constitutes and appoints John H. Beers and Dennis L. Derr Attorneys-in-Fact as the Reporting Person's true and lawful attorneys-in-fact to: (1) execute for and on behalf of the Reporting Person, in the Reporting Person's capacity as an officer or trustee of The Phoenix Companies, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) do and perform any and all acts for and on behalf of the Reporting Person which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, and in the best interests of, or legally required by, the Reporting Person. The Reporting Person hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully as to all intents and purposes as the Reporting Person might or could do if personally present, with full power of Substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall lawfully do or cause to be done by the virtue of this power of attorney and the rights and powers herein granted. The Reporting Person acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the Reporting Person, are not assuming, nor is the Company assuming, any of the Reporting Person's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This power of attorney shall remain in full force and effect until the Reporting Person is no longer required to file Forms 3, 4 and 5 with respect to the Reporting Person's holdings of and transactions in securities issued by the Company, unless earlier revoked by the Reporting Person in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the Reporting Person has caused this Power of Attorney to be executed as of this 9th day of May, 2011. s/ John T. Mulrain