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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 01/02/2009 | J | V | 1,529.997 | (3) | (3) | Common Stock | 1,529.997 | (4) | 1,529.997 | D | |||
Stock Option (Right to Buy) | $ 44.59 | 01/02/2009 | J | V | 2,180 | (5) | 06/25/2012 | Common Stock | 2,180 | (6) | 2,180 | D | |||
Stock Option (Right to Buy) | $ 31.38 | 01/02/2009 | J | V | 3,824 | (7) | 02/13/2018 | Common Stock | 3,824 | (6) | 3,824 | D | |||
Stock Option (Right to Buy) | $ 30.42 | 01/02/2009 | J | V | 7,266 | (8) | 03/05/2018 | Common Stock | 7,266 | (6) | 7,266 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Curtiss Nancy G C/O VIRTUS INVESTMENT PARTNERS, INC. 100 PEARL STREET HARTFORD, CT 06103 |
Head of Operations |
s/ Kevin J. Carr, Attorney-in-Fact | 01/06/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Information regarding stock equivalents held under the Issuer's Savings and Investment Plan presented as of December 31, 2008. |
(2) | The Restricted Stock Units ("RSUs") convert to common stock of the Issuer on a one-for-one basis. |
(3) | These RSUs will cliff vest on February 13, 2011 |
(4) | These RSUs were previously granted to the Reporting Person under a Phoenix Companies, Inc. ("PNX") equity plan and, in connection with the spin-off by PNX of the Issuer, were converted into RSUs of the Issuer in accordance with the Employee Matters Agreement, dated December 18, 2008, between the Issuer and PNX. |
(5) | This option is currently vested and exercisable. |
(6) | These options were previously granted to the Reporting Person under a PNX equity plan and, in connection with the spin-off by PNX of the Issuer, were converted into options to purchase common stock of the Issuer in accordance with the Employee Matters Agreement, dated December 18, 2008, between the Issuer and PNX. |
(7) | This option will vest in one-third increments on February 13, 2009, February 13, 2010, and February 13, 2011. |
(8) | This option will vest in one-third increments on March 5, 2009, March 5, 2010, and March 5, 2011. |