Statement of Changes in Beneficial Ownership (4)

Date : 06/21/2019 @ 9:01PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Group Inc (HIG)
Quote : 61.17  0.13 (0.21%) @ 9:02PM
After Hours
Last Trade
Last $ 61.17 ◊ 0.00 (0.00%)

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 *

Johnson Brion S
2. Issuer Name and Ticker or Trading Symbol

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

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Executive Vice President
(Last)          (First)          (Middle)

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

6/19/2019
(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   6/19/2019     S (1)    5660   D $55.144   (2) 62819.123   D    
Common Stock   6/19/2019     M    10387   A $35.83   73206.123   D    
Common Stock   6/19/2019     S (1)    10387   D $55.148   (3) 62819.123   D    
Common Stock   6/20/2019     S (1)    5660   D $55.3   (4) 57159.123   D    
Common Stock   6/20/2019     M    10387   A $35.83   67546.123   D    
Common Stock   6/20/2019     S (1)    10387   D $55.304   (5) 57159.123   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   $35.83   6/19/2019     M         10387      (6) 3/4/2024   Common Stock   10387   $0   41549   D    
Stock Option   $35.83   6/20/2019     M         10387      (6) 3/4/2024   Common Stock   10387   $0   31162   D    
Stock Option   $49.01                      (7) 2/26/2029   Common Stock   74722     74722   D    
Stock Option   $41.25                      (8) 3/3/2025   Common Stock   56604     56604   D    
Stock Option   $43.59                      (9) 3/1/2026   Common Stock   55601     55601   D    
Stock Option   $48.89                      (10) 2/28/2027   Common Stock   60582     60582   D    
Stock Option   $53.81                      (11) 2/27/2028   Common Stock   56964     56964   D    

Explanation of Responses:
(1)  The transaction reported on this Form 4 was effected pursuant to a trading plan previously adopted by Mr. Johnson on May 14, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
(2)  Price reflected is the weighted average sale price for shares sold. The range of sales prices for the transactions reported was $54.96 to $55.30 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
(3)  Price reflected is the weighted average sale price for shares sold. The range of sales prices for the transactions reported was $54.96 to $55.36 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
(4)  Price reflected is the weighted average sale price for shares sold. The range of sales prices for the transactions reported was $54.96 to $55.64 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
(5)  Price reflected is the weighted average sale price for shares sold. The range of sales prices for the transactions reported was $54.90 to $55.65 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
(6)  The options became fully exercisable on March 4, 2017, the third anniversary of the grant date.
(7)  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.
(8)  The options became fully exercisable on March 3, 2018, the third anniversary of the grant date.
(9)  The options became fully exercisable on March 1, 2019, the third anniversary of the grant date.
(10)  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.
(11)  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
Johnson Brion S
ONE HARTFORD PLAZA
HARTFORD, CT 06155


Executive Vice President

Signatures
/s/ Anthony J. Salerno, Jr. Attorney-in-Fact 6/19/2019
** 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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