SEC Form 4 · accession 0001225208-16-029325

PHOENIX COMPANIES INC/DE · PNX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP & CFO

Period of report

May 14, 2015

Accepted (ET)

Mar 7, 2016 · 6:40 pm EST

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^F1	holding	—	—		—	3,943	D
Common^F2	holding	—	—		—	1,717	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit (2015)^F3	—	May 14, 2015	A	3,425	A	—	—	Common	3,425	3,425	D
Stock Option (Right to Buy)^F4	$250.80	holding	—	—	—	—	Feb 8, 2017	Common	1,450	1,450	D
Stock Option (Right to Buy)^F4	$196.80	holding	—	—	—	—	Feb 13, 2018	Common	1,946	1,946	D
Stock Option (Right to Buy)^F4	$56.80	holding	—	—	—	—	Mar 8, 2020	Common	566	566	D

F1Includes shares acquired through The Phoenix Employee Stock Purchase Plan. This amount has been adjusted to reflect a transfer exempt from Section 16.
F2Represents the pro rata portion of the stock held in the PNX Common Stock Fund pursuant to the Phoenix Savings & Investment Plan that was acquired by the reporting person on the transaction date. This information is based on information provided by the Plan Trustee as of that date. This amount has been adjusted to reflect a transfer exempt from Section 16.
F3The Restricted Stock Units ("RSUs") represent a portion of the Reporting Person's 2015 long-term incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) December 31, 2017 or (b) a change of control.
F4The options vested in approximately three equal installments on each of the first three anniversaries of the grant.