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 (Date of earliest event reported): November 11, 2004
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THE HARTFORD FINANCIAL SERVICES GROUP, INC.
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(Exact name of registrant as specified in its charter)
Delaware 001-13958 13-3317783
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(State or other jurisdiction (Commission (IRS Employer
of Incorporation) File Number) Identification No.)
The Hartford Financial Services Group, Inc.
Hartford Plaza
Hartford, Connecticut 06115-1900
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (860) 547-5000
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Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
|_| Written communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12)
|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
Item 8.01 Other Events.
On November 11, 2004, each of The Hartford Financial Services Group, Inc.'s
("The Hartford") two registrant subsidiaries, Hartford Life, Inc. and Hartford
Life Insurance Company, filed with the Securities and Exchange Commission (the
"SEC") a Quarterly Report on Form 10-Q for the quarterly period ended September
30, 2004.
These periodic reports contain disclosure regarding (i) the recent
commencement by the SEC's Division of Enforcement of an investigation into The
Hartford's use of directed brokerage in connection with The Hartford's mutual
funds, and (ii) The Hartford's receipt of additional subpoenas regarding broker
compensation and possible anti-competitive activity from the Insurance Division
of the Illinois Department of Financial and Professional Regulation and the
Texas Attorney General's Office. For more information about regulatory
developments relating to The Hartford, see The Hartford's Quarterly Report on
Form 10-Q for the quarterly period ended September 30, 2004, which was filed
with the SEC on November 4, 2004.
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.
Date: November 10, 2004 By: /s/ Neal S. Wolin
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Name: Neal S. Wolin
Title: Executive Vice President and
General Counsel