FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MONY GROUP INC [ MNY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/08/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/08/2004 | D | 128,299(1)(2) | D | $31 | 0.00 | D | |||
Common Stock | 07/08/2004 | D | 2,647(1)(3) | D | $31 | 0.00 | I | By 401(k) Plan | ||
Common Stock | 07/08/2004 | D | 428(1)(4) | D | $31 | 0.00 | I | By Trust for Children |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $30.5 | 07/08/2004 | D | 236,000 | (5) | 11/17/2009 | Common Stock | 236,000 | $0 | 0.00 | D | ||||
Stock Option (Right to Buy) | $21.1 | 07/08/2004 | D | 100,000 | (6) | 03/18/2013 | Common Stock | 100,000 | $0 | 0.00 | D |
Explanation of Responses: |
1. Disposed of pursuant to the Agreement and Plan of Merger among Issuer, AXA Financial, Inc. and AIMA Acquisition Co. for a price of $31 per share. In addition, in connection with the consummation of the merger and pursuant to the Agreement and Plan of Merger, a cash dividend of $0.34755 per share will be paid by the Issuer. |
2. Includes 61,422 shares attributable to contributions made under the Excess Benefits Plan for Employees of MONY Life Insurance Company. Interests in this plan are denominated in units. Consequently, this attributed amount of shares reflects an estimate by the plan administrator as of a recent date. |
3. These shares are attributable to contributions made to The Investment Plan Supplement for Employees and Field Underwriters of MONY Life Insurance Company, the company's 401 (k) plan. Interests in this plan are denominated in units. Consequently, the attributed amount of shares reflects an estimate by the plan administrator as of a recent date. |
4. The reporting person disclaims beneficial ownership of the shares held by the trust. |
5. This option, which provided for vesting in three approximately equal installments beginning November 17, 2000, was cancelled in the merger in exchange for a cash payment of $118,000, representing the difference between the excercise price (per share) of the option and $31.00. This amount is required to be paid following the effective date of the merger, July 8, 2004. |
6. This option, which provided for vesting in two approximately equal installments beginning March 19, 2004, was cancelled in the merger in exchange for a cash payment of $990,000, representing the difference between the excercise price (per share) of the option and $31.00. This amount is required to be paid following the effective date of the merger, July 8, 2004. |
Remarks: |
By: John R. McFeely, by Power of Attorney | 07/08/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |