Statement of Changes in Beneficial Ownership (4)

Date : 09/16/2019 @ 8:04PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Group Inc (HIG)
Quote : 62.03  0.03 (0.05%) @ 10:59PM
After Hours
Last Trade
Last $ 62.03 ◊ 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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
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 *

Swift Christopher
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)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman and CEO
(Last)          (First)          (Middle)

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

9/12/2019
(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  9/12/2019    M    28779.0000  A $28.9100  211217.7800  D   
Common Stock  9/12/2019    M    6700.0000  A $28.9100  217917.7800  D   
Common Stock  9/12/2019    M    2200.0000  A $28.9100  220117.7800  D   
Common Stock  9/12/2019    S(1)    2200.0000  D $59.9950 (2) 217917.7800  D   
Common Stock  9/12/2019    S(1)    6700.0000  D $60.0050 (3) 211217.7800  D   
Common Stock  9/12/2019    S(1)    28779.0000  D $59.5990 (4) 182438.7800  D   
Common Stock  9/13/2019    M    24279.0000  A $28.9100  206717.7800  D   
Common Stock  9/13/2019    S(1)    24279.0000  D $60.3220 (5) 182438.7800  D   
Common Stock                 3750.0000  I  By Spouse 
Common Stock                 24850.0000  I  Swift Family Gift Trust 
Common Stock                 44200.0000  I  Swift Family Legacy Trust 

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  $28.9100  9/12/2019    M        2200.0000    (6) 3/1/2021  Common Stock  2200.0000  $0.0000  90737.0000  D   
Stock Option  $28.9100  9/12/2019    M        6700.0000    (6) 3/1/2021  Common Stock  6700.0000  $0.0000  84037.0000  D   
Stock Option  $28.9100  9/12/2019    M        28779.0000    (6) 3/1/2021  Common Stock  28779.0000  $0.0000  55258.0000  D   
Stock Option  $28.9100  9/13/2019    M        24279.0000    (6) 3/1/2021  Common Stock  24279.0000  $0.0000  30979.0000  D   
Stock Option  $20.6300                   (7) 2/28/2022  Common Stock  148448.0000    148448.0000  D   
Stock Option  $24.1500                   (8) 3/5/2023  Common Stock  141388.0000    141388.0000  D   
Stock Option  $35.8300                   (9) 3/4/2024  Common Stock  103872.0000    103872.0000  D   
Stock Option  $41.2500                   (10) 3/3/2025  Common Stock  301887.0000    301887.0000  D   
Stock Option  $43.5900                   (11) 3/1/2026  Common Stock  294481.0000    294481.0000  D   
Stock Option  $48.8900                   (12) 2/28/2027  Common Stock  302908.0000    302908.0000  D   
Stock Option  $49.0100                   (13) 2/26/2029  Common Stock  352263.0000    352263.0000  D   
Stock Option  $53.8100                   (14) 2/27/2028  Common Stock  284819.0000    284819.0000  D   

Explanation of Responses:
(1)  The transaction reported on this Form 4 was effected pursuant to a trading plan previously adopted by Mr. Swift on August 9, 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 $59.97 - $60.02 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 $60.00 - $60.02 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 $58.97 - $59.96 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 $60.00 - $60.50 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 1, 2014, the third anniversary of the grant date.
(7)  The options became fully exercisable on February 28, 2015, the third anniversary of the grant date.
(8)  The options became fully exercisable on March 5, 2016, the third anniversary of the grant date.
(9)  The options became fully exercisable on March 4, 2017, the third anniversary of the grant date.
(10)  The options became fully exercisable on March 3, 2018, the third anniversary of the grant date.
(11)  The options became fully exercisable on March 1, 2019, the third anniversary of the grant date.
(12)  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.
(13)  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.
(14)  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
Swift Christopher
ONE HARTFORD PLAZA
HARTFORD, CT 06155
X
Chairman and CEO

Signatures
Anthony J. Salerno, Jr., Attorney-in-Fact 9/16/2019
**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.

Hartford Financial Servi... (NYSE:HIG)
Historical Stock Chart

1 Year : From Nov 2018 to Nov 2019

Click Here for more Hartford Financial Servi... Charts.

Hartford Financial Servi... (NYSE:HIG)
Intraday Stock Chart

Today : Tuesday 19 November 2019

Click Here for more Hartford Financial Servi... Charts.

Latest HIG Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.