Statement of Changes in Beneficial Ownership (4)
September 16 2019 - 4:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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
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1. Name and Address of Reporting Person
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Swift Christopher |
2. Issuer Name and Ticker or Trading Symbol
HARTFORD FINANCIAL SERVICES GROUP, INC.
[
HIG
]
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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
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(Last)
(First)
(Middle)
ONE HARTFORD PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/12/2019
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(Street)
HARTFORD, CT 06155
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/12/2019
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M
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28779.0000
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A
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$28.9100
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211217.7800
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D
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Common Stock
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9/12/2019
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M
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6700.0000
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A
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$28.9100
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217917.7800
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D
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Common Stock
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9/12/2019
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M
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2200.0000
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A
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$28.9100
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220117.7800
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D
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Common Stock
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9/12/2019
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S(1)
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2200.0000
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D
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$59.9950 (2)
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217917.7800
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D
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Common Stock
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9/12/2019
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S(1)
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6700.0000
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D
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$60.0050 (3)
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211217.7800
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D
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Common Stock
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9/12/2019
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S(1)
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28779.0000
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D
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$59.5990 (4)
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182438.7800
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D
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Common Stock
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9/13/2019
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M
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24279.0000
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A
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$28.9100
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206717.7800
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D
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Common Stock
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9/13/2019
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S(1)
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24279.0000
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D
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$60.3220 (5)
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182438.7800
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D
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Common Stock
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3750.0000
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I
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By Spouse
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Common Stock
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24850.0000
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I
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Swift Family Gift Trust
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Common Stock
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44200.0000
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I
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Swift Family Legacy Trust
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$28.9100
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9/12/2019
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M
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2200.0000
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(6)
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3/1/2021
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Common Stock
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2200.0000
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$0.0000
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90737.0000
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D
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Stock Option
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$28.9100
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9/12/2019
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M
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6700.0000
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(6)
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3/1/2021
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Common Stock
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6700.0000
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$0.0000
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84037.0000
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D
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Stock Option
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$28.9100
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9/12/2019
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M
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28779.0000
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(6)
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3/1/2021
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Common Stock
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28779.0000
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$0.0000
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55258.0000
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D
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Stock Option
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$28.9100
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9/13/2019
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M
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24279.0000
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(6)
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3/1/2021
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Common Stock
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24279.0000
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$0.0000
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30979.0000
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D
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Stock Option
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$20.6300
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(7)
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2/28/2022
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Common Stock
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148448.0000
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148448.0000
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D
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Stock Option
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$24.1500
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(8)
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3/5/2023
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Common Stock
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141388.0000
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141388.0000
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D
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Stock Option
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$35.8300
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(9)
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3/4/2024
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Common Stock
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103872.0000
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103872.0000
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D
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Stock Option
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$41.2500
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(10)
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3/3/2025
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Common Stock
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301887.0000
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301887.0000
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D
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Stock Option
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$43.5900
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(11)
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3/1/2026
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Common Stock
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294481.0000
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294481.0000
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D
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Stock Option
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$48.8900
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(12)
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2/28/2027
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Common Stock
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302908.0000
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302908.0000
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D
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Stock Option
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$49.0100
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(13)
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2/26/2029
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Common Stock
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352263.0000
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352263.0000
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D
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Stock Option
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$53.8100
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(14)
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2/27/2028
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Common Stock
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284819.0000
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284819.0000
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D
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Explanation of Responses:
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(1)
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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.
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(2)
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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.
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(3)
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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.
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(4)
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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.
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(5)
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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.
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(6)
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The options became fully exercisable on March 1, 2014, the third anniversary of the grant date.
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(7)
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The options became fully exercisable on February 28, 2015, the third anniversary of the grant date.
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(8)
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The options became fully exercisable on March 5, 2016, the third anniversary of the grant date.
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(9)
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The options became fully exercisable on March 4, 2017, the third anniversary of the grant date.
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(10)
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The options became fully exercisable on March 3, 2018, the third anniversary of the grant date.
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(11)
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The options became fully exercisable on March 1, 2019, the third anniversary of the grant date.
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(12)
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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.
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(13)
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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.
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(14)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Swift Christopher ONE HARTFORD PLAZA HARTFORD, CT 06155
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X
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Chairman and CEO
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Signatures
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Anthony J. Salerno, Jr., Attorney-in-Fact
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9/16/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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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