SEC Form 4 · accession 0001127602-15-010957
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Smith
Officer — See Remarks
Period of report
Mar 6, 2015
Accepted (ET)
Mar 10, 2015 · 9:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001535929
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 24,657 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1,F3 | — | Mar 6, 2015 | A | 17,575 | A | — | — | Common Stock | 17,575 | 38,882 | D |
| Performance Stock UnitF2,F4,F1,F3 | — | Mar 6, 2015 | A | 21,481 | A | — | — | Common Stock | 21,481 | 21,481 | D |
Explanation of responses
- F1Each stock unit represents a conditional right to receive one share of the Issuer's Common Stock.
- F2The number of stock units granted was determined by reference to the closing price of a share of the Issuer's Common Stock on March 6, 2015, the date of the grant.
- F31/3 of the stock units will vest on March 6, 2016, 1/3 on March 6, 2017 and 1/3 on March 6, 2018.
- F4The number of shares of Common Stock that will be delivered for each performance stock unit depends on the achievement of certain performance factors. Depending on actual performance, the number of shares of Common Stock delivered upon vesting can range from 0% to 150% of the number presented above.
Remarks
Chief Executive Officer, Insurance Solutions and Closed Block Variable Annuities