SEC Form 4 · accession 0001225208-15-019078
PHOENIX COMPANIES INC/DE · PNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin N Baily
Director
Period of report
Oct 1, 2015
Accepted (ET)
Oct 2, 2015 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001129633
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | holding | — | — | — | 2,214 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (Director Retainer)F1 | — | Oct 1, 2015 | A | 530 | A | — | — | Common | 530 | 11,697 | D |
Explanation of responses
- F1In accordance with the Directors Equity Deferral Plan, the Reporting Person received the reported Restricted Stock Units ("RSUs") as a portion of the Reporting Person's compensation as a member of the Board of Directors. Each RSU represents the right to receive one share of common stock and the underlying shares of common stock will be issued, without consideration, following the termination of the Reporting Person's service as a member of the Board of Directors.