UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series B Voting Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 1,349,300.61 | $ (2) | D (1) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Phoenix Investment Management Co ONE AMERICAN ROW HARTFORD, CT 06102 |
 |  X |  |  |
PHOENIX COMPANIES INC/DE ONE AMERICAN ROW HARTFORD, CT 06102 |
 |  X |  |  |
/s/ Steven L. Bray, Vice President, on behalf of Phoenix Investment Management Company | 01/05/2009 | |
**Signature of Reporting Person | Date | |
/s/ Steven L. Bray, Vice President, on behalf of The Phoenix Companies, Inc. | 01/05/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Five million seven-hundred-seventy-two thousand seventy-six (5,772,076) shares of common stock and thirty-five thousand two hundred seventeen (35,217) shares of Series B Voting Convertible Preferred Stock of Virtus Investment Partners, Inc. are owned beneficially and of record by Phoenix Investment Management Company. The Phoenix Companies, Inc. is the sole stockholder of Phoenix Investment Management Company. |
(2) | Each share of Series B Voting Convertible Preferred Stock is convertible at any time into 38.3139 shares of common stock, subject to customary anti-dilution provisions. There is no expiration date for conversion. |