1 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: September 17, 2001 (Date of earliest event reported) THE PHOENIX COMPANIES, INC. (Exact name of registrant as specified in its charter) Delaware 1-16517 06-0493340 (State or other jurisdiction of (Commission File Number) (IRS Employer Identification No.) incorporation) One American Row, Hartford, Connecticut 06102-5056 (Address of principal executive offices) (Zip Code) 860-403-5000 (Registrant's telephone number, including area code) 2 -2- Item 5. Other Information. On September 17, 2001, The Phoenix Companies, Inc., a Delaware corporation, issued a press release, a copy of which is attached hereto as Exhibit 99.1 and is incorporated herein by reference. Item 7. Exhibits. 99.1 Press release of The Phoenix Companies, Inc., dated September 17, 2001, regarding announcement of stock repurchase program. 99.2 Press release of The Phoenix Companies, Inc., dated September 17, 2001, regarding establishment of special procedures to respond to needs of customers affected by September 11 terrorist attacks. Item 9. Regulation FD Disclosure. On September 17, 2001, The Phoenix Companies, Inc., a Delaware corporation, issued a press release, a copy of which is attached hereto as Exhibit 99.2 and is incorporated herein by reference. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. THE PHOENIX COMPANIES, INC. By: /S/ CAROLE A. MASTERS ----------------------------------- Name: Carole A. Masters Title: Vice President and Counsel Date: September 17, 2001 3 -3- EXHIBIT INDEX EXHIBIT NUMBER EXHIBIT -------------- ------- 99.1 Press release, dated September 17, 2001, regarding announcement of stock repurchase program 99.2 Press release, dated September 17, 2001, regarding establishment of special procedures to respond to needs to customers affected by September 11 terrorist attacks