8-K 1 d8k.htm THE PHOENIX COMPANIES, INC. The Phoenix Companies, Inc.

UNITED STATES

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): December 10, 2007

 


The Phoenix Companies, Inc.

(Exact name of registrant as specified in its charter)

 


 

Delaware   001-16517   06-1599088

(State or other jurisdiction

of incorporation)

  (Commission File Number)  

(IRS Employer

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)

 


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 



The following discussion may contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. We intend these forward-looking statements to be covered by the safe harbor provisions of the federal securities laws relating to forward-looking statements. These include statements relating to trends in, or representing management’s beliefs about, our future strategies, operations and financial results, as well as other statements including words such as “anticipate,” “believe,” “plan,” “estimate,” “expect,” “intend,” “may,” “should” and other similar expressions. Forward-looking statements are made based upon management’s current expectations and beliefs concerning trends and future developments and their potential effects. They are not guarantees of future performance. Actual results may differ materially from those suggested by forward-looking statements as a result of risks and uncertainties which include, among others, those risks and uncertainties described in any of our other filings with the SEC. We undertake no obligation to update or revise publicly any forward-looking statement, whether as a result of new information, future events or otherwise.

 

Item 7.01 Regulation FD Disclosure.

The senior management of The Phoenix Companies, Inc. (the “Company”) held a luncheon with sellside analysts in New York on December 10, 2007, to provide an overview of the business and its operating environment. During the meeting, senior management provided the following update regarding estimated net flows in the asset management business for full year 2007:

“During our third quarter conference call we said that we expect modestly positive asset management net flows for the full year, subject to market conditions. Since the third-quarter call, continued market turbulence has tempered our inflows, although outflows have been stable. As a result, we expect net flows to be slightly negative for the full year, but substantially better than 2006 flows. We continue to expect double-digit growth in both life insurance and annuity sales for the year.”

The slides used in connection with the luncheon are attached hereto as Exhibit 99.1 and are incorporated herein by reference. These slides may be used by the Company in various other presentations to investors.

 

Item 9.01 Financial Statements and Exhibits.

 

(a) Not applicable

 

(b) Not applicable

 

(c) Not applicable

 

(d) Exhibits

The following exhibits are furnished herewith:

 

  99.1 Luncheon presentation slides dated December 10, 2007

* * * * *


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: December 10, 2007     By:  

/s/ Tracy L. Rich

    Name:   Tracy L. Rich
    Title:   Executive Vice President,
      General Counsel and Secretary