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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option | $ 34 | (2) | 02/18/2010 | Common Stock | 228,294 | 228,294 | D | ||||||||
| Stock Option | $ 62.07 | (3) | 02/23/2011 | Common Stock | 222,046 | 222,046 | D | ||||||||
| Stock Option | $ 65.85 | (4) | 02/23/2012 | Common Stock | 201,556 | 201,556 | D | ||||||||
| Stock Option | $ 37.37 | (5) | 02/22/2013 | Common Stock | 171,465 | 171,465 | D | ||||||||
| Stock Option | $ 65.99 | (6) | 02/20/2014 | Common Stock | 96,723 | 96,723 | D | ||||||||
| Stock Option | $ 71.27 | (7) | 02/19/2015 | Common Stock | 79,454 | 79,454 | D | ||||||||
| Stock Option | $ 83 | (8) | 02/15/2016 | Common Stock | 71,750 | 71,750 | D | ||||||||
| Stock Option | $ 93.69 | (9) | 02/27/2017 | Common Stock | 61,313 | 61,313 | D | ||||||||
| Stock Option | $ 74.88 | (10) | 02/26/2018 | Common Stock | 85,771 | 85,771 | D | ||||||||
| Stock Option | $ 20 | 02/25/2009 | A | 313,213 | (11) | 02/25/2019 | Common Stock | 313,213 | $ 0 | 313,213 | D | ||||
| Restricted Units | (12) | 02/25/2009 | A | 147,213.46 | 02/25/2012(12) | 02/25/2012(12) | Common Stock (12) | 147,213.46 (12) | $ 0 (12) | 147,213.46 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| AYER RAMANI THE HARTFORD FINANCIAL SERVICES GROUP - ONE HARTFORD PLAZA HARTFORD, CT 06155 |
X | Chairman and CEO | ||
| /s/ Amanda Grabowski Aquino, POA for Ramani Ayer by Power of Attorney of Ramani Ayer dated July 26, 2007. | 02/27/2009 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | Shares of common stock held by a Limited Liability Company of which Mr. Ayer and his spouse are the co-managing and sole members. |
| (2) | The option became fully exercisable as of April 11, 2000, following the achievement of the following criteria: the closing price of the Issuer's Common Stock on the New York Stock Exchange reached 125% of the grant price for at least 10 consecutive trading days. |
| (3) | The option became fully exercisable as of July 27, 2005, following the achievement of the following criteria: the closing price of the Issuer's Common Stock on the New York Stock Exchange reached 125% of the grant price for at least 10 consecutive trading days. |
| (4) | The option became fully exercisable on November 17, 2005, following the achievement of the following criteria: the closing price of the Company's Common Stock on the New York Stock Exchange reached 125% of the grant price for at least 10 consecutive trading days. |
| (5) | The option became fully exercisable as of June 18, 2003, following the achievement of the following criteria: the closing price of the Issuer's Common Stock on the New York Stock Exchange reached 125% of the grant price for 10 consecutive trading days. |
| (6) | The option became fully exercisable as of February 18, 2007, the third anniversary of the grant date. |
| (7) | The option became fully exercisable on February 17, 2008, the third anniversary of the grant date. |
| (8) | The option became fully exercisable on February 15, 2009, the third anniversary of the grant date. |
| (9) | The option becomes fully exercisable upon the later of: (i) the date on which the closing stock price on the New York Stock Exchange equals or exceeds 125% of the exercise price for 10 consecutive trading days or (ii) February 27, 2010, three years from the date of the grant. |
| (10) | The option becomes fully exercisable upon the later of: (i) the date on which the closing stock price on the New York Stock Exchange equals or exceeds 125% of the exercise price for 10 consecutive trading days or (ii) February 26, 2011, three years from the date of the grant. |
| (11) | The option becomes fully exercisable upon the later of: (i) the date on which the closing stock price on the New York Stock Exchange equals or exceeds 125% of the exercise price for 10 consecutive trading days or (ii) February 25, 2012, three years from the date of the grant. |
| (12) | Each restricted unit will be settled in cash on the expiration date for an amount equal to the company's closing stock price on the New York Stock Exchange on the expiration date. |