Item 5. Other Information
Item 5.
OTHER INFORMATION
On September 15, 2023 , Christopher J. Swift , CEO and Chairman , adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) (the “Trading Plan”) for the potential exercise of vested stock options and the associated sale of up to 301,887 shares of the
Company’s common stock between December 15, 2023 and March 3, 2025 (or the date on which all shares have been sold) subject to certain conditions. The options covered by the Trading Plan were granted to Mr. Swift in 2015 and are scheduled to expire on March 3, 2025.
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Part II - Item 6. Exhibits
Item 6.
EXHIBITS
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
FOR THE QUARTER ENDED SEPTEMBER 30, 2023
FORM 10-Q
EXHIBITS INDEX
Exhibit No. Description Form File No. Exhibit No Filing Date
3.01 Restated Certificate of Incorporation of The Hartford, as filed with the Delaware Secretary of State on October 20, 2014.
8-K 001-13958 3.01 10/20/2014
3.02 Amended and Restated By-Laws of The Hartford Financial Services Group, Inc. effective December 14, 2022.
8-K 001-13958 3.1 12/14/2022
15.01 Deloitte & Touche LLP Letter of Awareness. **
31.01 Certification of Christopher J. Swift pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. **
31.02 Certification of Beth A. Costello pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. **
32.01 Certification of Christopher J. Swift pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. **
32.02 Certification of Beth A. Costello pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 .**
101.INS XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH Inline XBRL Taxonomy Extension Schema.**
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase.**
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase.**
101.LAB Inline XBRL Taxonomy Extension Label Linkbase.**
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase.**
104 The cover page from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, formatted in Inline XBRL.
** Filed with the Securities and Exchange Commission as an exhibit to this report.
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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 hereunto duly authorized.
The Hartford Financial Services Group, Inc.
(Registrant)
Date: October 26, 2023 /s/ Allison G. Niderno
Allison G. Niderno
Senior Vice President and Controller
(Chief accounting officer and duly
authorized signatory)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.