PNX / Phoenix Companies, Inc. (The) - SEC 보고서, 연례 보고, 기업 사업 설명서

PFX / Phoenix Companies, Inc. (The) / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 dfs682.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* PHOENIX COMPANIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 71902E604 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design

Phoenix Companies FORM 15

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-16517 The Phoenix Companies, Inc. (Exact name of registrant as specified

Phoenix Companies FORM 15-12B

15-12B 1 t1601607f15.htm FORM 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-16517 The Phoenix Companies, Inc. (

Phoenix Companies FORM 25

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-16517 Issuer: THE PHOENIX COMPANIES, INC Exchange: NEW YORK STOCK EXCHANGE LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 5, 2016, pursuant to the provisions of Rule 12d2-2 (a).

Phoenix Companies POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8

As filed with the Securities and Exchange Commission on June 20, 2016 Registration No.

Phoenix Companies POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8

S-8 POS 1 t11601600s8pos.htm POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 As filed with the Securities and Exchange Commission on June 20, 2016 Registration No. 333-159986 Registration No. 333-128256 Registration No. 333-122701 Registration No. 333-75346 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-1

Phoenix Companies POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8

S-8 POS 1 t11601600s8pos.htm POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 As filed with the Securities and Exchange Commission on June 20, 2016 Registration No. 333-159986 Registration No. 333-128256 Registration No. 333-122701 Registration No. 333-75346 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-1

Phoenix Companies POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8

S-8 POS 1 t11601600s8pos.htm POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 As filed with the Securities and Exchange Commission on June 20, 2016 Registration No. 333-159986 Registration No. 333-128256 Registration No. 333-122701 Registration No. 333-75346 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-1

THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED Effective as of June 20, 2016 THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED BYLAWS Table of Contents

Exhibit 3.2 THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED BYLAWS Effective as of June 20, 2016 THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED BYLAWS Table of Contents Page Article I MEETINGS OF STOCKHOLDERS 1 Section 1.01. Annual Meetings 1 Section 1.02. Special Meetings 1 Section 1.03. Participation in Meetings by Remote Communication 1 Section 1.04. Notice of Meetings; Waiver of Notice 1 Se

-more-

Exhibit 99.1 NEWS RELEASE For Immediate Release Contacts: Media Alice S. Ericson 860-403-5946 [email protected] Sard Verbinnen & Co Denise DesChenes / Jenny Gore 212-687-8080 / 312-895-4700 Investors Naomi Baline Kleinman 860-403-7100 [email protected] Nassau Reinsurance Group Holdings Completes Acquisition of The Phoenix Companies ? Phoenix Becomes Nassau Re?s U.S. Life and Annuity P

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION THE PHOENIX COMPANIES, INC.

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THE PHOENIX COMPANIES, INC. First: The name of the Corporation is The Phoenix Companies, Inc. Second: The Corporation?s registered office in the State of Delaware is at Corporation Trust Center, 1209 Orange Street, City of Wilmington, County of New Castle 19801. The name of its registered agent at such address is The Corporation Trus

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K 1 t16015998k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdicti

Nassau Reinsurance Group Holdings, L.P. Receives Regulatory Approvals Required for the Acquisition of The Phoenix Companies, Inc.

Exhibit 99.1 NEWS RELEASE For Immediate Release Contacts: Phoenix (Media) Alice S. Ericson 860-403-5946 [email protected] (Investors) Naomi Baline Kleinman 860-403-7100 [email protected] Nassau (Media) Sard Verbinnen & Co Denise DesChenes / Jenny Gore 212-687-8080 / 312-895-4700 Nassau Reinsurance Group Holdings, L.P. Receives Regulatory Approvals Required for the Acquisition of The P

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission File Number) (I

The Phoenix Companies Reports First Quarter 2016 Results

SEC Exhibit EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies Reports First Quarter 2016 Results ? Net Loss Attributable to The Phoenix Comp

EX-99.1

Untitled Document Exhibit 99.1

Financial Statements and Exhibits, Results of Operations and Financial Condition

Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorporation)

Phoenix Companies 10-Q (Quarterly Report)

10-Q 1 pnx-201603x31x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PER

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 form8-kfinancialsupplemen.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (

Financial Supplement The Phoenix Companies, Inc. March 31, 2016 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial sup

SEC Exhibit EXHIBIT 99.1 Financial Supplement The Phoenix Companies, Inc. March 31, 2016 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other shareholder services, visit the Investor R

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 earningsreleaseform8-kx201.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended Mar. 31, Years Ended December 31, ($ amounts in millions) 2016 2015 2014 2013 2012 2011 Income

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended Mar.

Nassau Reinsurance Group Holdings, L.P. Receives Connecticut Insurance Department Approval for the Acquisition of The Phoenix Companies, Inc.

Exhibit 99.1 NEWS RELEASE For Immediate Release Contacts: Phoenix (Media) Alice S. Ericson 860-403-5946 [email protected] (Investors) Naomi Baline Kleinman 860-403-7100 [email protected] Nassau (Media) Sard Verbinnen & Co Denise DesChenes / Jenny Gore 212-687-8080 / 312-895-4700 Nassau Reinsurance Group Holdings, L.P. Receives Connecticut Insurance Department Approval for the Acquisit

Financial Statements and Exhibits, Other Events

8-K 1 t16012658k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported):May 6, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction

SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. EQUITY DEFERRAL PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.48 SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. EQUITY DEFERRAL PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Equity Deferral Plan (the "Plan"), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows: 1. Section 2.03 is amended in its entirety to read as follows: 2.03 “Beneficiary” means the person(s) or e

SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. 2003 RESTRICTED STOCK, RESTRICTED STOCK UNIT AND LONG-TERM INCENTIVE PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.31 SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. 2003 RESTRICTED STOCK, RESTRICTED STOCK UNIT AND LONG-TERM INCENTIVE PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. 2003 Restricted Stock, Restricted Stock Unit and Long-Term Incentive Plan (the “Plan”), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows:

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 form8-kxsupplementx20151231.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-15990

Phoenix Companies 10-K (Annual Report)

10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ????????? FORM 10-K ????????? ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16517

FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS STOCK PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.10 FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS STOCK PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Directors Stock Plan (the “Plan”), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows: 1. Section 2.1(b) is amended in its entirety to read as follows: (b) “Beneficiary” means the person(s) or e

LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Compa

EXHIBIT 21 LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Company Connecticut Phoenix Founders, Inc. Connecticut Phoenix Investment Management Company Connecticut Phoenix Life and Annuity Company Connec

Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Reports 4Q15 Results; Files 2015 Form 10-K

EX-99.1 2 earningsreleaseexhibit991-.htm EXHIBIT 99.1 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Reports 4Q15 Result

POWER OF ATTORNEY

EXHIBIT 24 POWER OF ATTORNEY Each person whose signature appears below does hereby make, constitute and appoint JOHN T.

FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS EQUITY DEFERRAL PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.50 FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS EQUITY DEFERRAL PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Directors Equity Deferral Plan (the "Plan"), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows: 1. Section 2.02 is amended in its entirety to read as follows: 2.02 “Beneficiary” means

THIRD AMENDMENT TO THE PHOENIX COMPANIES, INC. NONQUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.24 THIRD AMENDMENT TO THE PHOENIX COMPANIES, INC. NONQUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Nonqualified Supplemental Executive Retirement Plan, as amended and restated effective January 1, 2009 (the “Plan”), further amended effective March 31, 2010 and November 19, 2013, and is further amended effec

EX-99.1

Untitled Document Exhibit 99.1

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 earningsreleaseform8-kx201.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-159908

FOURTH AMENDMENT TO THE PHOENIX COMPANIES, INC. STOCK INCENTIVE PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.5 FOURTH AMENDMENT TO THE PHOENIX COMPANIES, INC. STOCK INCENTIVE PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Stock Incentive Plan (the “Plan”), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows: 1. Section 10.2 is amended in its entirety to read as follows: 10.2 Beneficiary Designation. Each Participa

Years Ended December 31, ($ amounts in millions) 2015 2014 2013 2012 2011 Income (loss) from continuing operations before income taxes $ (159.3 ) $ (195.2 ) $ 38.1 $ (153.5 ) $ (5.4 ) Less: Equity in earnings (losses) of limited partnership and other

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Years Ended December 31, ($ amounts in millions) 2015 2014 2013 2012 2011 Income (loss) from continuing operations before income taxes $ (159.

FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS CASH DEFERRAL PLAN As Amended and Restated Effective January 1, 2009

EXHIBIT 10.52 FIRST AMENDMENT TO THE PHOENIX COMPANIES, INC. DIRECTORS CASH DEFERRAL PLAN As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Directors Cash Deferral Plan (the "Plan"), as amended and restated effective January 1, 2009, is amended effective June 26, 2015 as follows: 1. Section 2.01 is amended in its entirety to read as follows: 2.01 “Beneficiary” means the

THIRD AMENDMENT TO THE PHOENIX COMPANIES, INC. NONQUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN B As Amended and Restated Effective January 1, 2009

EXHIBIT 10.28 THIRD AMENDMENT TO THE PHOENIX COMPANIES, INC. NONQUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN B As Amended and Restated Effective January 1, 2009 The Phoenix Companies, Inc. Nonqualified Supplemental Executive Retirement Plan B, as amended and restated effective January 1, 2009 (the “Plan”), further amended effective March 31, 2010 and November 19, 2013, and is further amended e

Financial Supplement The Phoenix Companies, Inc. December 31, 2015 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial

EX-99.1 2 exhibit991-supplementx2015.htm EXHIBIT 99.1 EXHIBIT 99.1 Financial Supplement The Phoenix Companies, Inc. December 31, 2015 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to oth

SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. EXECUTIVE SEVERANCE ALLOWANCE PLAN As Amended and Restated Effective September 1, 2009

EXHIBIT 10.43 SECOND AMENDMENT TO THE PHOENIX COMPANIES, INC. EXECUTIVE SEVERANCE ALLOWANCE PLAN As Amended and Restated Effective September 1, 2009 The Phoenix Companies, Inc. Executive Severance Allowance Plan (the “Plan”), as amended and restated effective January 1, 2009, is further amended effective June 26, 2015 as follows: 1. Section 2.08A (Domestic Partner definition) is deleted. 2. Sectio

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdic

Fourth Supplemental Indenture

EX-4.1 2 a433781ex4-1.htm EXHIBIT 4.1 EXHIBIT 4.1 Fourth Supplemental Indenture This Fourth Supplemental Indenture (this “Fourth Supplemental Indenture”), dated as of March 9, 2016, between The Phoenix Companies, Inc., a Delaware corporation (the “Company”), and U.S. Bank National Association, a national banking association, as successor trustee to SunTrust Bank, as Trustee (the “Trustee”), amends

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ??????? FORM 8-K ??????? CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 9, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission

The Phoenix Companies, Inc. (NYSE:PNX) Announces Successful Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032 in Connection with Proposed Acquisition by Nassau

EX-99.1 2 a433499ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Successful Consent Solicitation

Financial Statements and Exhibits, Other Events

8-K 1 a4334998k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other juris

SUPPLEMENT TO CONSENT SOLICITATION STATEMENT (Dated February 24, 2016)

EX-99.1 2 pnxex991.htm SUPPLEMENT TO CONSENT SOLICITATION STATEMENT, DATED FEBRUARY 24, 2016. Exhibit 99.1 SUPPLEMENT TO CONSENT SOLICITATION STATEMENT (Dated February 24, 2016) This Supplement to Consent Solicitation Statement, dated February 24, 2016 (this “Supplement”), supplements the Consent Solicitation Statement, dated January 7, 2016 (the “Consent Solicitation Statement”), from holders of

The Phoenix Companies Announces Second Extension to Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032; Enters Memorandum of Understanding to Settle Litigation

EX-99.2 3 pnxex992.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED FEBRUARY 24, 2016. Exhibit 99.2 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies Announc

PFX / Phoenix Companies, Inc. (The) / Toscafund Asset Management LLP - AMENDMENT NO. 8 Passive Investment

SC 13G/A 1 t73994sc13ga8.htm AMENDMENT NO. 8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8) The Phoenix Companies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 71902E109 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) the appropriate box to

PFX / Phoenix Companies, Inc. (The) / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* The Phoenix Companies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 71902E604 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriat

The Phoenix Companies Extends Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies Extends Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032 Hartford, Conn., F

Financial Statements and Exhibits, Other Events

8-K 1 a4311828k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 10, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State

The Phoenix Companies Extends Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies Extends Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032 Hartford, Conn., F

PFX / Phoenix Companies, Inc. (The) / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* PHOENIX COMPANIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 71902E604 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

PFX / Phoenix Companies, Inc. (The) / MORGAN STANLEY - MSCS AMENDMENT Passive Investment

SC 13G/A 1 phoenixcompanies1.txt MSCS AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* PHOENIX COMPANIES INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 71902E604 - (CUSIP Number) December 31, 2015 - (Date Of Event which Requires Filing of this Statement) Check the approp

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

8-K 1 t16002168k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 22, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdi

The Phoenix Companies, Inc. Announces CFO Transition Upon Completion of Merger with Nassau

EX-99.1 2 t1600216ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. Announces CFO Transition Upon Completion of Merger with Nassau Hartfo

The Phoenix Companies, Inc. (NYSE:PNX) Announces Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032 in connection with proposed acquisition by Nassau

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Consent Solicitation Relating to 7.45% Quarterly Interest Bonds due 2032

THE PHOENIX COMPANIES, INC. CONSENT SOLICITATION STATEMENT Solicitation of Consents to Amendment to Indenture With Respect to the $300,000,000 7.45% Quarterly Interest Bonds due 2032 (CUSIP 71902E 20 8) (NYSE:PFX) In Consideration of a Consent Fee of

Exhibit 99.2 January 7, 2016 Dear PFX Bondholder: We are writing to request your consent to amend the indenture governing The Phoenix Companies, Inc. 7.45% Quarterly Interest Bonds due 2032 (CUSIP 71902E 20 8) (NYSE:PFX). We encourage you to review this Consent Solicitation Statement, which provides detail about the proposed amendment and what consenting to it would mean to you. Here is a summary

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 a4284648k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 7, 2016 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdict

PFX / Phoenix Companies, Inc. (The) / Standard General L.P. - AMENDMENT NO. 2 TO SCHEDULE 13D Activist Investment

SC 13D/A 1 a69853sc13da.htm AMENDMENT NO. 2 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* The Phoenix Companies, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 71902E604 (CUSIP Number) Joseph Mause Standard General L.P. 767 Fifth Avenue,

The Phoenix Companies, Inc. Stockholders Approve Acquisition by Nassau

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. Stockholders Approve Acquisition by Nassau Hartford, CT, Dec. 17, 2015 – At a special meeting

Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

8-K 1 t15029548k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisd

FIFTH AMENDMENT TO THE PHOENIX COMPANIES, INC. NON-QUALIFIED EXCESS INVESTMENT PLAN As Amended and Restated Effective September 1, 2009

EX-10.1 2 pnx101.htm FIFTH AMENDMENT TO THE PHOENIX COMPANIES, INC. NON-QUALIFIED EXCESS INVESTMENT PLAN, Exhibit 10.1 FIFTH AMENDMENT TO THE PHOENIX COMPANIES, INC. NON-QUALIFIED EXCESS INVESTMENT PLAN As Amended and Restated Effective September 1, 2009 The Phoenix Companies, Inc. Non-Qualified Excess Investment Plan (the “Plan”), as amended and restated effective September 1, 2009, further amend

Phoenix Companies FORM 8-K

DEFA14A 1 t15029158k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other ju

Other Events

8-K 1 t15029158k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisd

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 8, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorporati

PFX / Phoenix Companies, Inc. (The) / Standard General L.P. - AMENDMENT NO. 1 TO SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Phoenix Companies, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 71902E604 (CUSIP Number) Joseph Mause Standard General L.P. 767 Fifth Avenue, 12th Floor New York, NY 10153 Tel. No.: 212-257-4701 (Name,

Phoenix Companies DEFINITIVE PROXY STATEMENT

DEFM14A 1 t1502501defm14a.htm DEFINITIVE PROXY STATEMENT TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the

PFX / Phoenix Companies, Inc. (The) / STATE FARM MUTUAL AUTOMOBILE INSURANCE CO - 13G Passive Investment

SC 13G 1 phoenixcompanies2015.txt 13G Schedule 13G Page of Pages 1 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* 14 PHOENIX COMPANIES INC. (Name of Issuer) COMMON SHARES (Title of Class of Securities) 71902E604 (Cusip Number) 12/31/2015 (Date of Event Which Requires Filing of this Statement) Check

Phoenix Companies SOLICITING MATERIAL UNDER 240.14A-12

DEFA14A 1 t1502501defa14a.htm SOLICITING MATERIAL UNDER 240.14A-12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Us

Phoenix Companies FORM 8-K

DEFA14A 1 t15026458k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other ju

The Phoenix Companies, Inc. Announces Record Date and Meeting Date for Special Meeting of Stockholders

EX-99.1 2 t1502645ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] The Phoenix Companies, Inc. Announces Record Date and Meeting Date for Special

Financial Statements and Exhibits, Other Events

8-K 1 t15026458k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisd

The Phoenix Companies, Inc. Announces Record Date and Meeting Date for Special Meeting of Stockholders

EX-99.1 2 t1502645ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] The Phoenix Companies, Inc. Announces Record Date and Meeting Date for Special

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 form8-k09302015.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Nu

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commiss

EX-99.1

pnxex991.htm Exhibit 99.1

Financial Supplement The Phoenix Companies, Inc. September 30, 2015 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial

Exhibit EXHIBIT 99.1 Financial Supplement The Phoenix Companies, Inc. September 30, 2015 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other shareholder services, visit the Investor R

Phoenix Companies CURRENT REPORT (Current Report/Significant Event)

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorporati

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended Sept. 30, Nine Months Ended Sept. 30, Years Ended December 31, ($ amounts in millions) 2015 20

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended Sept.

The Phoenix Companies Reports Third Quarter 2015 Results

EX-99.1 2 earningsreleaseexhibit991-.htm EXHIBIT 99.1 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies Reports Third Quarter 2015 Results •

Phoenix Companies FORM DEFA14A

DEFA14A 1 t1502419defa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check the appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission

Phoenix Companies PRELIMINARY PROXY STATEMENT

PREM14A 1 t1502419prem14a.htm PRELIMINARY PROXY STATEMENT TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the

AGREEMENT AND PLAN OF MERGER NASSAU REINSURANCE GROUP HOLDINGS, L.P., DAVERO MERGER SUB CORP. THE PHOENIX COMPANIES, INC. Dated as of September 28, 2015

EX-2.1 2 pnxex21.htm AGREEMENT AND PLAN OF MERGER Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among NASSAU REINSURANCE GROUP HOLDINGS, L.P., DAVERO MERGER SUB CORP. and THE PHOENIX COMPANIES, INC. Dated as of September 28, 2015 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1 Section 1.1 The Merger 1 Section 1.2 Closing; Effective Time 1 Section 1.3 Effects of the Merger 1 Section 1.4 Certificate of Inc

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission

AMENDED AND RESTATED BY LAWS THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED THE PHOENIX COMPANIES, INC.

EX-3.1 3 pnxex31.htm AMENDED AND RESTATED BYLAWS Exhibit 3.1 AMENDED AND RESTATED BY LAWS OF THE PHOENIX COMPANIES, INC. AMENDED AND RESTATED BYLAWS OF THE PHOENIX COMPANIES, INC. ARTICLE I - STOCKHOLDERS Section 1.01 Annual Meeting 1 Section 1.02 Special Meetings 1 Section 1.03 Notice of Meetings; Waiver 1 Section 1.04 Quorum 2 Section 1.05 Voting 2 Section 1.06 Voting by Ballot 3 Section 1.07 Ad

NASSAU REINSURANCE GROUP TO ACQUIRE THE PHOENIX COMPANIES, INC. FOR $37.50 PER SHARE IN CASH

phnxex991.htm Exhibit 99.1 NEWS RELEASE For Immediate Release Contacts: Phoenix (Media) Alice S. Ericson 860-403-5946 [email protected] (Investors) Naomi Baline Kleinman 860-403-7100 [email protected] Nassau (Media) Sard Verbinnen & Co Denise DesChenes / Jenny Gore 212-687-8080 / 312-895-4700 NASSAU REINSURANCE GROUP TO ACQUIRE THE PHOENIX COMPANIES, INC. FOR $37.50 PER SHARE IN CASH

The Phoenix Companies, Inc. One American Row PO Box 5056 Hartford, CT 06102-5056 Tel. 860-403-7100

phnxex993.htm Exhibit 99.3 September 29, 2015 To Our Shareholders, Policyholders and Other Key Constituents: Earlier today, Phoenix announced a definitive agreement to be acquired by Nassau Reinsurance Group Holdings L.P. (?Nassau?). This is a transformational event for our company. For 164 years, Phoenix has provided our customers with products and services to protect their financial futures, and

The Phoenix Companies, Inc. One American Row PO Box 5056 Hartford, CT 06102-5056 Tel. 860-403-7100

phnxex994.htm Exhibit 99.4 Letter to Employees from Phoenix President and Chief Executive Officer James D. Wehr September 29, 2015 Company Acquisition This morning we announced a definitive agreement to be acquired by Nassau Reinsurance Group Holdings L.P. This is a transformational event for our company, which we believe will strengthen and enhance Phoenix for the long term. When the transaction

PHOENIX/NASSAU ACQUISITION ANNOUNCEMENT TALKING POINTS AND Q&AS SEPTEMBER 29, 2015

phnxex992.htm Exhibit 99.2 PHOENIX/NASSAU ACQUISITION ANNOUNCEMENT TALKING POINTS AND Q&AS SEPTEMBER 29, 2015 TALKING POINTS ? The Phoenix Companies, Inc. (including its subsidiaries, ?Phoenix? or the ?Company?) has agreed to be acquired by Nassau Reinsurance Group Holdings L.P. (?Nassau?). When the transaction is completed, Phoenix will become a privately held, wholly owned subsidiary of Nassau a

EX-99.5

phnxex995.htm Exhibit 99.5

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 phnxconfidential.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdi

EX-99.1

pnxex991.htm Exhibit 99.1

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 form8-k06302015.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 10, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdic

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2015 2015

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2015 2015 2014 2013 2012 2011 2010 Income (loss) from continuing operations before income taxes $ (34.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ????????? FORM 10-Q ????????? (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number:

The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along wi

FINANCIAL SUPPLEMENT-2015.6.30-8K The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other shareholder services, visit the Investor Relations Section on our Web site at Phoenixwm.com or co

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 10, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdi

The Phoenix Companies Reports Second Quarter 2015 Results

pnxex991.htm Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] The Phoenix Companies Reports Second Quarter 2015 Results ● Net Loss Attributable to The Phoenix Com

Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected]

pnxex991.htm Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] Phoenix Completes De-stacking of Insurance Company Subsidiaries Hartford, Conn., July 29, 2015 –The

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 29, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorpor

PFX / Phoenix Companies, Inc. (The) / MORGAN STANLEY - ST MS INITIAL Passive Investment

SC 13G 1 phoenixcompanies.txt ST MS INITIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* THE PHOENIX COMPANIES, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 71902E604 - (CUSIP Number) July 13, 2015 - (Date Of Event which Requires Filing of this Statement) Check the appropriat

EX-24

POWER OF ATTORNEY Know all by these presents, that the undersigned (the "Reporting Person") hereby constitutes and appoints John H.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 15, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorpor

Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected]

pnxex991.htm Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] Andrew J. McMahon Elected to The Phoenix Companies, Inc. Board of Directors Hartford, Conn., July 16

PFX / Phoenix Companies, Inc. (The) / BlackRock Inc. Passive Investment

SC 13G/A 1 phoenix.cos.inc.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 6) PHOENIX COS INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 71902E604 - (CUSIP Number) June 30, 2015 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t

CONSULTING SERVICES AGREEMENT

EX-10.2 3 pnx102.htm CONSULTING SERVICES AGREEMENT Exhibit 10.2 CONSULTING SERVICES AGREEMENT CONSULTING SERVICES AGREEMENT, dated as of July 16, 2015, by and between The Phoenix Companies, Inc., a Delaware corporation (the “Company”), and Peter A. Hofmann (“Consultant”). WHEREAS, Consultant has served as the Executive Vice President, Strategy and Business Development of the Company since 2012; an

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or

Phoenix Executes Intercompany Reinsurance Treaty and Announces De-stacking of Insurance Company Subsidiaries

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED JULY 6, 2015 Exhibit 99.1 NEWS RELEASE For Immediate Release One American RowPO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] Phoenix Executes Intercompany Reinsu

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or

AGREEMENT AND RELEASE

EX-10.1 2 pnx101.htm SEVERANCE AGREEMENT AND RELEASE Exhibit 10.1 AGREEMENT AND RELEASE This Severance Agreement and Release (“Agreement”) by and between The Phoenix Companies, Inc. and Phoenix Life Insurance Company and their respective affiliates (collectively referred to throughout this Agreement as “the Group”) and Peter A. Hofmann (“Executive”) is made effective as of July 2, 2015 (“Effective

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of July 2, 2015, is by and among Standard General L.P., Standard General Master Fund L.P., P Standard General Ltd. and Soohyung Kim (collectively, the "Filers"). Each of the Filers may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13G and/or 13D with respect to shares o

PFX / Phoenix Companies, Inc. (The) / Standard General L.P. Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* The Phoenix Companies, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 71902E604 (CUSIP Number) Joseph Mause Standard General L.P. 767 Fifth Avenue, 12th Floor New York, NY 10153 Tel. No.: 212-257-4701 (Name, A

Exhibit 16.1-

pnxex161.htm Exhibit 16.1

Regulation FD Disclosure, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 8, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or

Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected]

pnxex991.htm Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] The Phoenix Companies, Inc. Appoints New Independent Auditor Hartford, Conn., June 11, 2015 ?The Pho

STIPULATION OF SETTLEMENT Page I. INTRODUCTION 1 A. The Actions and Underlying Allegations 1 B. The Background of the Settlement 1 II. DEFINITIONS AND CONSTRUCTION 2 III. SETTLEMENT RELIEF 4 IV. NOTICE TO THE CLASS AND COMMUNICATIONS WITH CLASS MEMBE

EX-10.1 2 pnxex101a.htm SETTLEMENT AGREEMENT DATED MAY 29, 2015 Exhibit 10.1 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK MARTIN FLEISHER, AS TRUSTEE OF THE MICHAEL MOSS IRREVOCABLE LIFE INSURANCE TRUST II and JONATHAN BERCK, AS TRUSTEE OF THE JOHN L. LOEB, JR. INSURANCE TRUST, on behalf of themselves and all others similarly situated, Plaintiff, vs. PHOENIX LIFE INSURANCE COMPANY, D

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 29, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 14, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorpora

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 14, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission

EX-99.1

ex991.htm Exhibit 99.1

EX-99.1

pnxex991.htm Exhibit 99.1

N E W S R E L E A SE

pnxex991.htm Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Reports First Quarter 2015 Results ? Net Loss Attributable to

The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage For More Information Firm Analyst To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other share

EX-99.1 2 pnxex991.htm THE PHOENIX COMPANIES, INC. FINANCIAL SUPPLEMENT FOR QUARTER ENDED MARCH 31, 2015 Exhibit 99.1 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage For More Information Firm Analyst To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other shareholder services, visit the Inves

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdicti

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 11, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdicti

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission File Number) (IR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 pnx-201503x31x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PER

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2015 2014 2013 2012 2011 2010 Income

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2015 2014 2013 2012 2011 2010 Income (loss) from continuing operations before income taxes $ (74.

Phoenix Companies CURRENT REPORT (Current Report/Significant Event)

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ??????? FORM 8-K ??????? CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Co

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 4, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or o

Phoenix Companies CURRENT REPORT (Current Report/Significant Event)

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ??????? FORM 8-K ??????? CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 30, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction

Phoenix Companies NOTICE AND ACCESS CARD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) o Definitive

Phoenix Companies DEF 14A

PNX - Proxy Statement 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Current Report

pnx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ????????? FORM 8-K ????????? CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdict

LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Compa

EXHIBIT 21 LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Company Connecticut Phoenix Founders, Inc. Connecticut Phoenix Investment Management Company Connecticut Phoenix Life and Annuity Company Connec

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdic

The Phoenix Companies, Inc.

pnxex991.htm Exhibit 99.1 The Phoenix Companies, Inc. Financial Supplement Wall Street Coverage Firm Analyst For More Information JP Morgan Jimmy Bhullar To receive additional information, including financial supplements and Securities and Exchange Commission filings along with access to other shareholder services, visit the Investor Relations Section on our Web site at Phoenixwm.com or contact ou

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ————————— þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 o TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-K ————————— þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16517 THE P

N E W S R E L E A S E

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files 2014 Form 10-K ● Net Loss Attri

Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 As restated As revised As revised As revised Income (loss) from continuing operations before income taxes $ (195.2 ) $ 38.1 $ (153.5 ) $ (5.4 ) $ (34.5 ) Less: Equity in earnin

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 As restated As revised As revised As revised Income (loss) from continuing operations before income taxes $ (195.

EX-99.1

pnxex991.htm Exhibit 99.1

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdic

POWER OF ATTORNEY

EXHIBIT 24 POWER OF ATTORNEY Each person whose signature appears below does hereby make, constitute and appoint JOHN T.

The Phoenix Companies, Inc. (NYSE:PNX) Provides 2014 Unaudited Statutory Results for Phoenix Life Insurance Company and Phoenix 4Q14 and 2014 Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Provides 2014 Unaudited Statutory Res

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorporation) (Comm

PFX / Phoenix Companies, Inc. (The) / Toscafund Asset Management LLP - AMENDMENT NO. 7 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) The Phoenix Companies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 71902E109 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) the appropriate box to designate the rule pursuant to which this Sc

PFX / Phoenix Companies, Inc. (The) / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment

SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* The Phoenix Companies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 71902E604 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo

PFX / Phoenix Companies, Inc. (The) NT 10-K - - LATE FILING NOTIFICATION

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): þ Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q o Transition Report o

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 4, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State

The Phoenix Companies, Inc. Announces GAAP Restatement

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. Announces GAAP Restatement ● Corrections would in

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 6, 2015 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incor

PFX / Phoenix Companies, Inc. (The) / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* PHOENIX COMPANIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 71902E604 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

PFX / Phoenix Companies, Inc. (The) / STATE FARM MUTUAL AUTOMOBILE INSURANCE CO - 13G Passive Investment

SC 13G 1 phoenix2015.txt 13G Schedule 13G Page of Pages 1 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* 13 PHOENIX COMPANIES INC. (Name of Issuer) COMMON SHARES (Title of Class of Securities) 71902E604 (Cusip Number) 12/31/2014 (Date of Event Which Requires Filing of this Statement) Check the appro

PFX / Phoenix Companies, Inc. (The) / BlackRock Inc. Passive Investment

SC 13G/A 1 phoenix.cos.inc.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 5) PHOENIX COS INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 71902E604 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): December 12, 2014 The Phoenix Companies, Inc.

EXHIBIT 99.1

EX-99.1 2 ex991.htm CONFERENCE CALL SLIDES DATED DECEMBER 5, 2014 EXHIBIT 99.1

Financial Statements and Exhibits, Other Events

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 5, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State

LETTER

November 24, 2014 Via E-mail Bonnie J. Malley Executive Vice President and Chief Financial Officer The Phoenix Companies, Inc. One American Row Hartford, Connecticut 06102-5056 Re: The Phoenix Companies, Inc. Form 10-K for the Fiscal Year Ended December 31, 2013 Filed August 6, 2014 File No. 001-16517 Dear Ms. Malley: We have completed our review of your filing. We remind you that our comments or

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 21, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commis

The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q

EX-99.1 2 pnxex991.htm PRESSRELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q ●

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (16.

The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q

EX-99.1 2 pnxex991.htm PRESSRELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q ●

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (16.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (16.

The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q

EX-99.1 2 pnxex991.htm PRESSRELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q ●

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (16.

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 20, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commis

The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q

EX-99.1 2 pnxex991.htm PRESSRELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q ●

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Nu

The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q

EX-99.1 2 pnxex991.htm PRESSRELEASE Exhibit 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Third Quarter 2014 Form 10-Q ●

1

EX-99.1 2 pnxex991.htm ANNUAL MEETING OF SHAREHOLDERS SLIDES Exhibit 99.1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 20, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (Stat

1

EX-99.1 2 pnxex991.htm ANNUAL MEETING OF SHAREHOLDERS SLIDES Exhibit 99.1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

1

EX-99.1 2 pnxex991.htm ANNUAL MEETING OF SHAREHOLDERS SLIDES Exhibit 99.1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

1

EX-99.1 2 pnxex991.htm ANNUAL MEETING OF SHAREHOLDERS SLIDES Exhibit 99.1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

The Phoenix Companies, Inc. (NYSE:PNX) Provides Third Quarter 2014 Unaudited Statutory Results for Phoenix Life Insurance Company (PLIC) and Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED NOVEMBER 14, 2014 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies

The Phoenix Companies, Inc. (NYSE:PNX) Provides Third Quarter 2014 Unaudited Statutory Results for Phoenix Life Insurance Company (PLIC) and Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED NOVEMBER 14, 2014 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies

The Phoenix Companies, Inc. (NYSE:PNX) Provides Third Quarter 2014 Unaudited Statutory Results for Phoenix Life Insurance Company (PLIC) and Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED NOVEMBER 14, 2014 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies

The Phoenix Companies, Inc. (NYSE:PNX) Provides Third Quarter 2014 Unaudited Statutory Results for Phoenix Life Insurance Company (PLIC) and Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED NOVEMBER 14, 2014 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies

The Phoenix Companies, Inc. (NYSE:PNX) Provides Third Quarter 2014 Unaudited Statutory Results for Phoenix Life Insurance Company (PLIC) and Estimated Operating Metrics

EX-99.1 2 pnxex991.htm NEWS RELEASE OF THE PHOENIX COMPANIES, INC. DATED NOVEMBER 14, 2014 EXHIBIT 99.1 N E W S R E L E A S E For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 14, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission File Number

PFX / Phoenix Companies, Inc. (The) CORRESP - -

CORRESP 1 filename1.htm November 10, 2014 Jim B. Rosenberg Senior Assistant Chief Accountant United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: The Phoenix Companies, Inc. Form 10-K for the Fiscal Year Ended December 31, 2013 Filed August 6, 2014 File No. 001-16517 Dear Mr. Rosenberg: The Phoenix Companies, Inc. (the “Comp

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number:

PFX / Phoenix Companies, Inc. (The) NT 10-Q - - NOTICE OF LATE FILING

` UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): o Form 10-K o Form 20-F o Form 11-K þ Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q o Transition Repor

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (34.

The Phoenix Companies, Inc. (NYSE:PNX) Files Second Quarter 2014 Form 10-Q Second Quarter 2014 Net Loss Attributable to The Phoenix Companies, Inc. of $14.3 million

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Second Quarter 2014 Form 10-Q Second Quarter 2014 Net Loss Attributable to T

The Phoenix Companies, Inc. (NYSE:PNX) Files Second Quarter 2014 Form 10-Q Second Quarter 2014 Net Loss Attributable to The Phoenix Companies, Inc. of $14.3 million

Exhibit 99.1 NEWS RELEASE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files Second Quarter 2014 Form 10-Q Second Quarter 2014 Net Loss Attributable to T

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (34.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 7, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission File Number)

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (34.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2014 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (34.

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 24, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incor

PFX / Phoenix Companies, Inc. (The) DEFA14A - -

DEFA14A 1 pnxdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule

The Phoenix Companies, Inc. (NYSE:PNX) Files First Quarter 2014 Form 10-Q $33.3 million First Quarter 2014 Net Loss Attributable to The Phoenix Companies, Inc., Driven by Restatement Expenses

EX-99.1 2 pnxex991.htm PRESS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files First Quarter 2014 Form 10-Q $3

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (29.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (29.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (29.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 17, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incor

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (29.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2014 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ (29.

PFX / Phoenix Companies, Inc. (The) DEF 14A - - DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) þ Filed by the Registrant o Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) þ Defini

PFX / Phoenix Companies, Inc. (The) DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) o Definitive

LETTER

September 29, 2014 Via E-mail Bonnie J. Malley Executive Vice President and Chief Financial Officer The Phoenix Companies, Inc. One American Row Hartford, Connecticut 06102-5056 Re: The Phoenix Companies, Inc. Form 10-K for the Fiscal Year Ended December 31, 2013 Filed August 6, 2014 File No. 001-16517 Dear Ms. Malley: We have limited our review of your filing to your financial statements and rela

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 12, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (Sta

The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC Periodic Reports and State Insurance Regulatory Reporting Obligations

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC P

The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC Periodic Reports and State Insurance Regulatory Reporting Obligations

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC P

The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC Periodic Reports and State Insurance Regulatory Reporting Obligations

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC P

The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC Periodic Reports and State Insurance Regulatory Reporting Obligations

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC P

The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC Periodic Reports and State Insurance Regulatory Reporting Obligations

EX-99.1 2 pnxex991.htm NEWS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Completion of All 2013 SEC P

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (13.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 2008 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (63.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (13.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (13.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (33.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 2008 Incom

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended March 31, Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (63.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Nu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 pnx-20130331x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERI

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1 Three Months Ended Sept 30, Nine Months Ended Sept 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (13.

STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2013 2013

EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Three Months Ended June 30, Six Months Ended June 30, Years Ended December 31, ($ amounts in millions) 2013 2013 2012 2011 2010 2009 2008 Income (loss) from continuing operations before income taxes $ (33.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————— FORM 10-Q ————————— (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number:

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 15, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorp

N E W S R E L E A SE

Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Provides Second Quarter 2014 Unaudited Statutory Results for Phoenix Life

Ernest McNeill Jr. Joins The Phoenix Companies, Inc. as Senior Vice President and Chief Accounting Officer

EX-99.1 2 pnxex991.htm PRESS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Prosek Partners Gabrielle Simon, 203-254-1300 x108 [email protected] Phoenix Alice Ericson, 860-403-5946 [email protected] Ernest McNeill Jr. Joins The Phoenix Companies, Inc. as Senior Vice President and Chief Accoun

Ernest McNeill Jr. Joins The Phoenix Companies, Inc. as Senior Vice President and Chief Accounting Officer

EX-99.1 2 pnxex991.htm PRESS RELEASE Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Prosek Partners Gabrielle Simon, 203-254-1300 x108 [email protected] Phoenix Alice Ericson, 860-403-5946 [email protected] Ernest McNeill Jr. Joins The Phoenix Companies, Inc. as Senior Vice President and Chief Accoun

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State o

PFX / Phoenix Companies, Inc. (The) NT 10-Q - - NOTIFICATION OF LATE FILING

` UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q o Transition Report on

LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut Holland Re Holdings, LLC Delaware Next Generation Ventures LLC Connecticut PH

EX-21 3 pnx-20131231xexhibit21.htm EXHIBIT EXHIBIT 21 LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut Holland Re Holdings, LLC Delaware Next Generation Ventures LLC Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Company Connecticut Phoeni

Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ 16.7 $ (156.0 ) $ 2.7 $ (41.6 ) $ (73.9 ) Less: Equity in earnings (losses) of limited partnership and other inve

EX-12 2 pnx-20131231xexhibit12.htm EXHIBIT EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ 16.7 $ (156.0 ) $ 2.7 $ (41.6 ) $ (73.9 ) Less: Equity in earnings (loss

Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ 16.7 $ (156.0 ) $ 2.7 $ (41.6 ) $ (73.9 ) Less: Equity in earnings (losses) of limited partnership and other inve

EX-12 2 pnx-20131231xexhibit12.htm EXHIBIT EXHIBIT 12 STATEMENT RE: COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS [1] Years Ended December 31, ($ amounts in millions) 2013 2012 2011 2010 2009 Income (loss) from continuing operations before income taxes $ 16.7 $ (156.0 ) $ 2.7 $ (41.6 ) $ (73.9 ) Less: Equity in earnings (loss

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commissio

POWER OF ATTORNEY

EX-24 4 pnx-20131231xexhibit24.htm EXHIBIT EXHIBIT 24 POWER OF ATTORNEY Each person whose signature appears below does hereby make, constitute and appoint JOHN T. MULRAIN, DENNIS L. DERR and JOHN H. BEERS, and each of them, with full power to act as his or her true and lawful attorneys-in-fact and agents, in his or her name, place and stead to execute on his or her behalf, as a director of The Pho

LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut Holland Re Holdings, LLC Delaware Next Generation Ventures LLC Connecticut PH

EX-21 3 pnx-20131231xexhibit21.htm EXHIBIT EXHIBIT 21 LIST OF THE PHOENIX COMPANIES, INC. SUBSIDIARIES Name Jurisdiction of Incorporation 1851 Securities, Inc. Delaware American Phoenix Life and Reassurance Company Connecticut Holland Re Holdings, LLC Delaware Next Generation Ventures LLC Connecticut PHL Variable Insurance Company Connecticut Phoenix Distribution Holding Company Connecticut Phoeni

N E W S R E L E A SE

Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Alice S. Ericson, 860-403-5946 [email protected] Investor Relations Naomi Baline Kleinman, 860-403-7100 [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Files 2013 Form 10-K ● Net Income Attributable to The Phoenix Companies, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ————————— þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 o TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ????????? FORM 10-K ????????? ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16517 THE P

POWER OF ATTORNEY

EX-24 4 pnx-20131231xexhibit24.htm EXHIBIT EXHIBIT 24 POWER OF ATTORNEY Each person whose signature appears below does hereby make, constitute and appoint JOHN T. MULRAIN, DENNIS L. DERR and JOHN H. BEERS, and each of them, with full power to act as his or her true and lawful attorneys-in-fact and agents, in his or her name, place and stead to execute on his or her behalf, as a director of The Pho

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 1, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commissio

The Phoenix Companies, Inc. (NYSE:PNX) Announces Amended Order from SEC Regarding Delayed Filings Revised Filing Timetables Approved

Exhibit 99.1 N E W S R E L E A SE For Immediate Release One American Row PO Box 5056 Hartford CT 06102-5056 www.phoenixwm.com Contacts: Media Relations Investor Relations Alice S. Ericson, 860-403-5946 Naomi Baline Kleinman, 860-403-7100 [email protected] [email protected] The Phoenix Companies, Inc. (NYSE:PNX) Announces Amended Order from SEC Regarding Delayed Filings Revised Filing

Amount

Exhibit 10.1 July 15, 2014 Christopher Wilkos Executive Vice President & Chief Investment Officer Dear Chris: This is to confirm a $175,000 one-time cash award in recognition of your sustained performance and leadership as Chief Investment Officer and the resumption by Phoenix of current filings with the U.S. Securities and Exchange Commission (the ‘SEC”). Terms of the One-Time Award The one-time

Amount

Exhibit 10.1 July 15, 2014 Christopher Wilkos Executive Vice President & Chief Investment Officer Dear Chris: This is to confirm a $175,000 one-time cash award in recognition of your sustained performance and leadership as Chief Investment Officer and the resumption by Phoenix of current filings with the U.S. Securities and Exchange Commission (the ‘SEC”). Terms of the One-Time Award The one-time

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 15, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction of incorporation) (Commissi

Other Events

8-K 1 pnx8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 3, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ——————— FORM 8-K ——————— CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 3, 2014 The Phoenix Companies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-16517 06-1599088 (State or other jurisdiction (Commission