Statement of Changes in Beneficial Ownership (4)

Date : 05/17/2019 @ 9:25PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Grp. (The) (HIG)
Quote : 58.05  0.33 (0.57%) @ 11:00PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Paiano Robert W
2. Issuer Name and Ticker or Trading Symbol

HARTFORD FINANCIAL SERVICES GROUP INC/DE [ HIG ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP & Chief Risk Officer
(Last)          (First)          (Middle)

ONE HARTFORD PLAZA
3. Date of Earliest Transaction (MM/DD/YYYY)

5/15/2019
(Street)

HARTFORD, CT 06155
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   5/15/2019     M    5000   A $28.91   33341.845   D    
Common Stock   5/15/2019     S (1)    5000   D $52.4   28341.845   D    
Restricted Stock Units                  9437.154   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   $28.91   5/15/2019     M         5000      (2) 3/1/2021   Common Stock   5000   $28.91   3011   D    
Stock Option   $20.63                      (3) 2/28/2022   Common Stock   20243     20243   D    
Stock Option   $24.15                      (4) 3/5/2023   Common Stock   19794     19794   D    
Stock Option   $35.83                      (5) 3/4/2024   Common Stock   14542     14542   D    
Stock Option   $41.25                      (6) 3/3/2025   Common Stock   14528     14528   D    
Stock Option   $43.59                      (7) 3/1/2026   Common Stock   13138     13138   D    
Stock Option   $48.89                      (8) 2/28/2027   Common Stock   13934     13934   D    
Stock Option   $49.01                      (9) 2/26/2029   Common Stock   34159     34159   D    
Stock Option   $53.81                      (10) 2/27/2028   Common Stock   26702     26702   D    

Explanation of Responses:
(1)  The transaction reported on this Form 4 was effected pursuant to a trading plan previously adopted by Mr. Paiano on September 12, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
(2)  The options became fully exercisable on March 1, 2014, the third anniversary of the grant date.
(3)  The options became fully exercisable on February 28, 2015, the third anniversary of the grant date.
(4)  The options became fully exercisable on March 5, 2016, the third anniversary of the grant date.
(5)  The options became fully exercisable on March 4, 2017, the third anniversary of the grant date.
(6)  The options became fully exercisable on March 3, 2018, the third anniversary of the grant date.
(7)  The options became fully exercisable on March 1, 2019, the third anniversary of the grant date.
(8)  One-third of the options became exercisable on February 28, 2018, an additional one-third of the options became exercisable on February 28, 2019 and the remaining one-third of the options will become exercisable on February 28, 2020, the third anniversary of the grant date.
(9)  One-third of the options will become exercisable on February 26, 2020, an additional one-third of the options will become exercisable on February 26, 2021 and the remaining one-third of the options will become exercisable on February 26, 2022, the third anniversary of the grant date.
(10)  One-third of the options became exercisable on February 27, 2019, an additional one-third of the options will become exercisable on February 27, 2020 and the remaining one-third of the options will become exercisable on February 27, 2021, the third anniversary of the grant date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Paiano Robert W
ONE HARTFORD PLAZA
HARTFORD, CT 06155


EVP & Chief Risk Officer

Signatures
/s/ Anthony J. Salerno, Jr. Attorney-in-Fact 5/17/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

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