-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PO1pW468v+NNuxt9L3fxHVUezjbUs1JNnS0fIAF3QBmc5zLj7U8jFM60jrFYBQiU ksRhRSo+0MLR7CMNtnIsHg== 0001225208-09-000915.txt : 20090106 0001225208-09-000915.hdr.sgml : 20090106 20090106204511 ACCESSION NUMBER: 0001225208-09-000915 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090106 FILED AS OF DATE: 20090106 DATE AS OF CHANGE: 20090106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEHR JAMES D CENTRAL INDEX KEY: 0001255543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16517 FILM NUMBER: 09511789 BUSINESS ADDRESS: BUSINESS PHONE: 9733672698 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE STREET 2: 1100 MUBERRY STREET, 4TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 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 4 1 doc4.xml X0303 4 2009-01-06 0001129633 PHOENIX COMPANIES INC/DE PNX 0001255543 WEHR JAMES D ONE AMERICAN ROW HARTFORD CT 06102-5056 1 Sr. EVP & CIO Common 11988.691 D Common 42075.7841 I By 401(k) Restricted Stock Units (021308) Common 17393.617 17393.617 D Restricted Stock Units (030508) Common 6810.181 6810.181 D Stock Option (Right to Buy) 13.9824 2012-06-25 Common 17393 17393 D Stock Option (Right to Buy) 7.5954 2013-06-05 Common 11595 11595 D Stock Option (Right to Buy) 10.5645 2014-01-02 Common 34787 34787 D Stock Option (Right to Buy) 11.1428 2015-02-03 Common 34786 34786 D Stock Option (Right to Buy) 9.8395 2018-02-13 Common 43484 43484 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 a portion of the Reporting Person's 2008 long-term incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) February 13, 2011 or (b) a change of control and a termination of the Reporting Person's employment other than for cause. In the event the RSUs vest, the underlying shares of stock will immediately become deliverable, without consideration. Thereafter, the terms of the Reporting Person's employment will require the Reporting Person to retain a fixed percentage of the shares in accordance with the ownership levels applicable to the Reporting Person under the Company's stock ownership and retention guidelines. Additionally, pro rata vesting would apply in the event of involuntary termination other than for cause or termination due to death, disability or approved retirement. The number of Restricted Stock Units convertible into shares of Company stock covered by this grant has been adjusted arising out of the Company's spin-off, effective December 31, 2008, of its former subsidiary, Virtus Investment Partners, Inc. The Restricted Stock Units ("RSUs") represent a component of the Reporting Person's 2007 annual incentive award, and each RSU represents one share of stock. The RSUs vest on the earlier of (a) two approximately equal installments on March 5, 2009 and March 5, 2010, respectively or (b) (1) a change in control and (2) a termination of the Reporting Person's employment by the Reporting Person for good reason or by the Company other than for cause. In the event the RSUs vest, the underlying shares of stock will immediately become deliverable, without consideration. Thereafter, the terms of the Reporting Person's employment will require the Reporting Person to retain a fixed percentage of the shares in accordance with the ownership levels applicable under the Company's stock ownership and retention guidelines. Additionally, pro rata vesting would apply in the event of involuntary termination other than for cause or termination due to death, disability or approved retirement. The number of options to purchase shares of Company stock and the exercise price thereof covered by this grant have been adjusted arising out of the Company's spin-off, effective December 31, 2008, of its former subsidiary, Virtus Investment Partners, Inc. The options vested in approximately three equal installments on each of the first three anniversaries of the grant. The options vest in approximately three equal installments on each of the first three anniversaries of the grant. /s/ John H. Beers, Attorney-in-Fact 2009-01-06 -----END PRIVACY-ENHANCED MESSAGE-----