SEC Form 4 · accession 0001225208-16-029327
PHOENIX COMPANIES INC/DE · PNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T Mulrain
Officer — EVP, General Counsel & Secreta
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 | holding | — | — | — | 2,054 | D | ||
| Common | holding | — | — | — | 613 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (2015)F1 | $0.00 | May 14, 2015 | A | 2,283 | A | — | — | Common | 2,283 | 2,283 | D |
| Stock Option (Right to Buy)F2 | $56.80 | holding | — | — | — | — | Mar 8, 2020 | Common | 430 | 430 | D |
Explanation of responses
- F1The 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.
- F2The options vested in approximately three equal installments on each of the first three anniversaries of the grant.