-----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, TO+BHT6d4ig42Z6kxyd5sYxsFIxNPXenJ89H9uDu3vT4FUraRRs8O4ttO13k6TNG M/RL5GFkJ0b/ZdjFZxYWlQ== 0000949377-04-000038.txt : 20040209 0000949377-04-000038.hdr.sgml : 20040209 20040209164045 ACCESSION NUMBER: 0000949377-04-000038 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040205 ITEM INFORMATION: FILED AS OF DATE: 20040209 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16517 FILM NUMBER: 04578437 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 8-K 1 pnx_65413-8k.txt FORM 8K Securities and Exchange Commission Washington, D.C. 20549 -------------------------------------- FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 5, 2004 The Phoenix Companies, Inc. --------------------------------------------------------- (Exact Name of Registrant as Specified in Its Charter) Delaware 1-16517 06-0493340 - ----------------------------- -------------------------- ------------------- (State or Other Jurisdiction (Commission File Number) (IRS Employer of Incorporation) Identification No.) One American Row, Hartford, CT 06102-5056 - ------------------------------------------ ---------------------------------- (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code: (860) 403-5000 ---------------------------- NOT APPLICABLE ---------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) ITEM 10. AMENDMENT TO THE REGISTRANT'S CODE OF ETHICS, OR WAIVER OF A PROVISION OF THE CODE OF ETHICS On February 5, 2004, the Board of Directors of The Phoenix Companies, Inc. approved an amended Code of Conduct applicable to all of the Company's Directors and employees. The amendments were primarily technical, administrative or non-substantive except for: (i) the addition of a new section on market timing; and (ii) modification of the section concerning monitoring of compliance with the code. The amended code may be viewed on the company website (PhoenixWealthManagement.com) in the Investor Relations section. (This URL is intended to be an inactive textual reference only. It is not intended to be an active hyperlink to our website. The information on the website which might be accessible through a hyperlink resulting from this URL is not intended to be and is not part of this report and is not incorporated herein by reference). SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. THE PHOENIX COMPANIES, INC. Date: February 9, 2004 By: /s/ Carole A. Masters ------------------------------------- Name: Carole A. Masters Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----