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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 | ||||||||
| Stock Options | $ 65.99 | (2) | 02/20/2014 | Common Stock | 13,655 | 13,655 | D | ||||||||
| Stock Options | $ 71.27 | (3) | 02/19/2015 | Common Stock | 8,923 | 8,923 | D | ||||||||
| Stock Options | $ 83 | (4) | 02/15/2016 | Common Stock | 14,689 | 14,689 | D | ||||||||
| Stock Options | $ 93.69 | (5) | 02/27/2017 | Common Stock | 15,791 | 15,791 | D | ||||||||
| Stock Options | $ 92.69 | (6) | 07/30/2017 | Common Stock | 3,538 | 3,538 | D | ||||||||
| Stock Options | $ 74.88 | (7) | 02/26/2018 | Common Stock | 38,240 | 38,240 | D | ||||||||
| Stock Options | $ 7.04 | (8) | 02/25/2019 | Common Stock | 179,538 | 179,538 | D | ||||||||
| Restricted Units | (9) | (9) | 02/25/2012(9) | Common Stock (9) | 64,684.309 (9) | 64,684.309 | D | ||||||||
| Restricted Units | (10) | (10) | 11/05/2012(10) | Common Stock (10) | 19,438.148 (10) | 19,438.148 | D | ||||||||
| Restricted Units | (11) | (11) | 02/25/2013(11) | Common Stock (11) | 44,645.048 (11) | 44,645.048 | D | ||||||||
| Deferred Units | (12) | (12) | 11/05/2011(12) | Common Stock (12) | 6,093.334 (12) | 6,093.334 | D | ||||||||
| Deferred Units | (13) | (13) | 02/25/2012(13) | Common Stock (13) | 12,088.312 (13) | 12,088.312 | D | ||||||||
| Deferred Units | (14) | (14) | 05/03/2013(14) | Common Stock (14) | 10,134.632 (14) | 10,134.632 | D | ||||||||
| Deferred Units | (15) | (15) | 08/06/2013(15) | Common Stock (15) | 4,346.109 (15) | 4,346.109 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Zlatkus Lizabeth H THE HARTFORD FINANCIAL SERVICES GROUP - ONE HARTFORD PLAZA HARTFORD, CT 06155 |
Executive Vice President | |||
| s/ Donald C. Hunt, POA for Laura A. Santirocco, POA for Lizabeth H. Zlatkus by Power of Attorney of Lizabeth H. Zlatkus dated February 18, 2010 | 10/28/2010 | |
| **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) | Transaction effected pursuant to a pre-planned trading plan entered into in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. |
| (2) | The option became fully exercisable as of February 18, 2007, the third anniversary of the grant date. |
| (3) | The option became fully exercisable as of February 17, 2008, the third anniversary of the grant date. |
| (4) | The option became fully exercisable on February 15, 2009, the third anniversary of the grant date. |
| (5) | The option became fully exercisable on February 27, 2010, the third anniversary of the grant date. |
| (6) | The option became fully exercisable on July 30, 2010, the third anniversary of the grant date. |
| (7) | The option becomes fully exercisable upon the later of: (i) the date on which the closing stock price on the New York Stock Exchange equals or exceeds 125% of the exercise price for 10 consecutive trading days or (ii) February 26, 2011, three years from the date of the grant. |
| (8) | The option becomes fully exercisable upon the later of: (i) the date on which the closing stock price on the New York Stock Exchange equals or exceeds 125% of the exercise price for 10 consecutive trading days or (ii) February 25, 2012, three years from the date of the grant. The pricing condition was met on April 22, 2009. |
| (9) | Each restricted unit will vest on the expiration date and be settled in cash immediately folllowing the expiration date for an amount equal to the closing price per share of the company's common stock on the expiration date as reported on the New York Stock Exchange. |
| (10) | Each restricted unit will be settled in cash as soon as practicable, and in any event within 90 days after November 5, 2012 (the "Valuation Date"). The cash settlement payable per unit shall be equal the closing stock price per share of the company's common stock on the Valuation Date as reported on the New York Stock Exchange. |
| (11) | Each restricted unit will be settled in cash as soon as practicable, and in any event within 90 days after February 25, 2013 (the "Valuation Date"). The cash settlement payable per unit shall be equal the closing stock price per share of the company's common stock on the Valuation Date as reported on the New York Stock Exchange. |
| (12) | Each deferred unit will be settled in cash as soon as practicable, and in any event within 90 days, after the second anniversary of the grant date (November 5, 2009) for an amount equal to the company's closing stock price on the New York Stock Exchange on the settlement date. Deferred units are fully vested when credited. |
| (13) | Each deferred unit will be settled in cash as soon as practicable, and in any event within 90 days, after the second anniversary of the grant date (February 25, 2010) for an amount equal to the company's closing stock price on the New York Stock Exchange on the settlement date. Deferred units are fully vested when credited. |
| (14) | One-third of the deferred unit award will be settled in cash as soon as practicable after, and in any event within 90 days after, the first, second and third anniversaries of the grant date (May 3, 2010) based on the company's closing stock price on the New York Stock Exchange on the applicable anniversary date. Deferred units are fully vested when credited. |
| (15) | One-third of the deferred unit award will be settled in cash as soon as practicable, and in any event within 90 days, after the first, second and third anniversaries of the grant date (August 6, 2010) based on the company's closing stock price on the New York Stock Exchange on the applicable anniversary date. Deferred units are fully vested when credited. |