Statement of Changes in Beneficial Ownership (4)

Date : 10/16/2019 @ 8:17PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Group Inc (HIG)
Quote : 62.305  0.275 (0.44%) @ 7:55PM

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. [ 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)

10/15/2019
(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  10/15/2019    M    3011.0000  A $28.9100  31367.4110  D   
Common Stock  10/15/2019    S(1)    3011.0000  D $59.2600  28356.4110  D   
Restricted Stock Units                 9535.6880  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  $28.9100  10/15/2019    M        3011.0000    (2) 3/1/2021  Common Stock  3011.0000  $0.0000  0.0000  D   
Stock Option  $20.6300                   (3) 2/28/2022  Common Stock  20243.0000    20243.0000  D   
Stock Option  $24.1500                   (4) 3/5/2023  Common Stock  19794.0000    19794.0000  D   
Stock Option  $35.8300                   (5) 3/4/2024  Common Stock  14542.0000    14542.0000  D   
Stock Option  $41.2500                   (6) 3/3/2025  Common Stock  14528.0000    14528.0000  D   
Stock Option  $43.5900                   (7) 3/1/2026  Common Stock  13138.0000    13138.0000  D   
Stock Option  $48.8900                   (8) 2/28/2027  Common Stock  13934.0000    13934.0000  D   
Stock Option  $49.0100                   (9) 2/26/2029  Common Stock  34159.0000    34159.0000  D   
Stock Option  $53.8100                   (10) 2/27/2028  Common Stock  26702.0000    26702.0000  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/ Terence Shields, Attorney-in-Fact 10/16/2019
**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.

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