Statement of Changes in Beneficial Ownership (4)

Date : 11/19/2019 @ 9:12PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Group Inc (HIG)
Quote : 58.05  -0.03 (-0.05%) @ 9:15PM
After Hours
Last Trade
Last $ 58.05 ◊ 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 *

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)

11/15/2019
(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 11/15/2019  M  30979.0000 A$28.9100 213417.7800 D  
Common Stock 11/15/2019  S(1)  30979.0000 D$62.0000 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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option $28.9100 11/15/2019  M     30979.0000   (2)3/1/2021 Common Stock 30979.0000 $0.0000 0.0000 D  
Stock Option $20.6300            (3)2/28/2022 Common Stock 148448.0000  148448.0000 D  
Stock Option $24.1500            (4)3/5/2023 Common Stock 141388.0000  141388.0000 D  
Stock Option $35.8300            (5)3/4/2024 Common Stock 103872.0000  103872.0000 D  
Stock Option $41.2500            (6)3/3/2025 Common Stock 301887.0000  301887.0000 D  
Stock Option $43.5900            (7)3/1/2026 Common Stock 294481.0000  294481.0000 D  
Stock Option $48.8900            (8)2/28/2027 Common Stock 302908.0000  302908.0000 D  
Stock Option $49.0100            (9)2/26/2029 Common Stock 352263.0000  352263.0000 D  
Stock Option $53.8100            (10)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) 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
Director10% OwnerOfficerOther
Swift Christopher
ONE HARTFORD PLAZA
HARTFORD, CT 06155
X
Chairman and CEO

Signatures
Anthony J. Salerno, Jr., Attorney-in-Fact11/18/2019
**Signature of Reporting PersonDate

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