0001225208-16-029329.txt : 20160307 0001225208-16-029329.hdr.sgml : 20160307 20160307184058 ACCESSION NUMBER: 0001225208-16-029329 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150514 FILED AS OF DATE: 20160307 DATE AS OF CHANGE: 20160307 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: 1031 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WILKOS CHRISTOPHER M CENTRAL INDEX KEY: 0001491660 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16517 FILM NUMBER: 161489885 MAIL ADDRESS: STREET 1: ONE AMERICAN ROW CITY: HARTFORD STATE: CT ZIP: 06102-5056 4 1 doc4.xml X0306 4 2015-05-14 0001129633 PHOENIX COMPANIES INC/DE PNX 0001491660 WILKOS CHRISTOPHER M ONE AMERICAN ROW HARTFORD CT 06102-5056 1 EVP, Chief Investment Officer Common 6587.0000 D Common 2449.1400 I By 401(k) Restricted Stock Unit (2015) 0.0000 2015-05-14 4 A 0 3425.0000 0.0000 A Common 3425.0000 3425.0000 D Stock Option (Right to Buy) 196.8000 2018-02-13 Common 1374.0000 1374.0000 D Stock Option (Right to Buy) 56.8000 2020-03-08 Common 832.0000 832.0000 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 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. The options vested in approximately three equal installments on each of the first three anniversaries of the grant. /s/ Christopher M Wilkos 2016-03-07