Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
PHOENIX COMPANIES INC/DE
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
ONE AMERICAN ROW
HARTFORD, CT 06102-5056
Phone Number:
subscription required
Item 3. Related Persons
Name
MARTIN N. BAILY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ARTHUR P. BYRNE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN H. FORSGREN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ANN MAYNARD GRAY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
SANFORD JR. CLOUD
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GORDON J. DAVIS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PETER A. HOFMANN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS S. JOHNSON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
BONNIE J. MALLEY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
AUGUSTUS K. OLIVER, II
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
EDWARD W. CASSIDY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JAMES D. WEHR
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
ARTHUR F. WEINBACH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CHRISTOPHER M. WILKOS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS M. BUCKINGHAM
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
INSURANCE
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
01/02/2013
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
INDEFINITE
Total Amount Sold
148250
Total Remaining to be Sold
INDEFINITE
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
7
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
PHOENIX COMPANIES INC/DE
Issuer Signature
/S/ JODY A. BERESIN
Signer Name
JODY A. BERESIN
Signer Title
SENIOR VICE PRESIDENT, ADMINISTRATION
Signature Date
01/24/2013