SEC Form 4 · accession 0001127602-15-013260
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alain M Karaoglan
Officer — See Remarks
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 6:47 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 StockF1 | Mar 30, 2015 | M | 24,471 | — | A | 69,516 | D | |
| Common StockF2 | Mar 30, 2015 | F | 13,661 | $43.31 | D | 55,855 | D | |
| Common StockF4 | Mar 30, 2015 | S | 2,368 | $43.6459 | D | 53,487 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Delivery of shares of the issuer's common stock were made to the reporting person without the payment of any consideration in connection with the vesting of the underlying restricted stock units that were awarded as compensation.
- F2Represents shares of common stock withheld to satisfy tax obligations, following delivery of common stock underlying the restricted stock units described in footnote 1.
- F3The shares being sold are vested equity awards representing annual incentive payments made with respect to the 2012 performance year, which were mandatorily deferred pursuant to European executive compensation regulations.
- F4This transaction was executed in multiple trades at prices ranging from $43.6370 to $43.6600. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
Remarks
Executive Vice President and Chief Operating Officer