Statement of Changes in Beneficial Ownership (4)
March 05 2013 - 6:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kreczko Alan J
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2. Issuer Name
and
Ticker or Trading Symbol
HARTFORD FINANCIAL SERVICES GROUP INC/DE
[
HIG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
E.V.P. and General Counsel
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(Last)
(First)
(Middle)
THE HARTFORD FINANCIAL SERVICES GROUP, I, ONE HARTFORD PLAZA
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2013
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(Street)
HARTFORD, CT 06155
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/1/2013
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M
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23910.0700
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A
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$0
(1)
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32828.5930
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D
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Common Stock
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3/1/2013
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D
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23910.0700
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D
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$23.0500
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8918.5230
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D
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Restricted Stock Units
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15293.1830
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Units
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(1)
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3/1/2013
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M
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23910.0700
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(1)
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2/25/2013
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Common Stock
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23910.0700
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$23.0500
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0.0000
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D
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Deferred Units
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(2)
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(2)
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5/3/2013
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Common Stock
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1001.4160
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1001.4160
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D
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Stock Option
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$83.0000
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(3)
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2/15/2016
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Common Stock
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2938.0000
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2938.0000
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D
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Stock Option
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$65.9900
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(4)
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2/20/2014
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Common Stock
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3414.0000
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3414.0000
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D
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Stock Option
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$7.0400
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(5)
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2/25/2019
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Common Stock
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37180.0000
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37180.0000
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D
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Stock Option
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$74.8800
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(6)
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2/26/2018
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Common Stock
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8577.0000
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8577.0000
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D
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Stock Option
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$93.6900
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(7)
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2/27/2017
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Common Stock
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2884.0000
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2884.0000
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D
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Stock Option
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$20.6300
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(8)
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2/28/2022
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Common Stock
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60729.0000
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60729.0000
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D
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Stock Option
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$28.9100
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(9)
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3/1/2021
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Common Stock
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39498.0000
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39498.0000
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D
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Stock Option
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$92.6900
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(10)
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7/30/2017
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Common Stock
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2477.0000
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2477.0000
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D
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Explanation of Responses:
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(
1)
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Each restricted unit is equal to one share of the Company's common stock. On March 1, 2013, 23,910.07 of the reporting person's restricted units were settled for cash based upon the Company's closing stock price on the New York Stock Exchange on February 25, 2013.
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(
2)
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One-third of the deferred unit award will be settled in cash as soon as practicable after, and in any event within 90 days after, the first, second and third anniversaries of the grant date (5/3/2010) based on the Company's closing stock price on the New York Stock Exchange on the applicable anniversary date. Deferred units are fully vested when credited.
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(
3)
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The option became fully exercisable on February 15, 2009, the third anniversary of the grant date.
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(
4)
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The option became fully exercisable on February 18, 2007, the third anniversary of the grant date.
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(
5)
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The option became fully exercisable on February 25, 2012, the third anniversary of the grant date.
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(
6)
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The option became fully exercisable on February 26, 2011, the third anniversary of the grant date.
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(
7)
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The option became fully exercisable on February 27, 2010, the third anniversary of the grant date.
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(
8)
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One-third of the options became exercisable on February 28, 2013, an additional one-third of the options will become exercisable on February 28, 2014, and the remaining one-third of the options will become exercisable on February 28, 2015, the third anniversary of the grant date.
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(
9)
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One-third of the options became exercisable on March 1, 2012, an additional one-third of the options became exercisable on March 1, 2013, and the remaining one-third of the options will become exercisable on March 1, 2014, the third anniversary of the grant date.
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(
10)
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The option became fully exercisable on July 30, 2010, the third anniversary of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kreczko Alan J
THE HARTFORD FINANCIAL SERVICES GROUP, I
ONE HARTFORD PLAZA
HARTFORD, CT 06155
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E.V.P. and General Counsel
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Signatures
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/s/ Anthony J. Salerno, Attorney-in-Fact
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3/5/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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