SEC Form 4 · accession 0001225208-16-029421
PHOENIX COMPANIES INC/DE · PNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jody A Beresin
Officer — EVP & Chief Admin. Officer
Period of report
May 14, 2015
Accepted (ET)
Mar 8, 2016 · 4:18 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 | — | — | — | 354 | D | ||
| CommonF1 | holding | — | — | — | 70 | 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)F2 | $0.00 | May 14, 2015 | A | 1,816 | A | — | — | Common | 1,816 | 1,816 | D |
| Stock Option (Right to Buy)F3 | $196.80 | holding | — | — | — | — | Feb 13, 2018 | Common | 351 | 351 | D |
| Stock Option (Right to Buy)F3 | $56.80 | holding | — | — | — | — | Mar 8, 2020 | Common | 102 | 102 | D |
Explanation of responses
- F1Represents 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.
- F2The 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.
- F3The options vested in approximately three equal installments on each of the first three anniversaries of the grant.