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PNX > SEC Filings for PNX > Form 8-K on 5-Apr-2013All Recent SEC Filings

Show all filings for PHOENIX COMPANIES INC/DE | Request a Trial to NEW EDGAR Online Pro

Form 8-K for PHOENIX COMPANIES INC/DE


5-Apr-2013

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or St


Item 3.01. Notice of Failure to Satisfy a Continued Listing Rule or Standard.

On April 4, 2013, The Phoenix Companies, Inc. (the "Company") received from the NYSE Regulation, Inc. (the "NYSE") a notice of failure to satisfy a continued listing rule or standard and related monitoring. This notice informed the Company that, as a result of its failure to timely file its Annual Report on Form 10-K for the year ended December 31, 2012 (the "2012 Form 10-K"), it is subject to the procedures specified in Section 802.01E (SEC Annual Report Timely Filing Criteria) of the NYSE Listed Company Manual. As previously disclosed, the Company has not filed its 2012 Form 10-K in a timely manner because of a restatement of financial statements for prior periods. The 2012 Form 10-K was due April 2, 2013 after giving effect to a fifteen-day extension under Rule 12b-25 promulgated under the Securities Exchange Act of 1934, as amended.

Under the Section 802.01E procedures, the NYSE will monitor the status of the filing of the 2012 Form 10-K and related public disclosures for up to a six-month period from its due date. If the Company has not filed the 2012 Form 10-K within six months from the filing due date, the NYSE may, in its sole discretion, allow the Company's common stock to trade for up to an additional six months pending the filing of the 2012 Form 10-K prior to commencing suspension or delisting procedures, depending on the Company's specific circumstances. The Company and its advisors are working expeditiously to complete the restatement. The Company last announced its progress in this regard on March 15, 2013 under Item 4.02 of the Company's Form 8-K/A filed with the Securities and Exchange Commission and in a news release stating that it would provide an update on or before April 30, 2013.

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