SEC Form 4 · accession 0001127602-15-013270
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven T Pierson
Officer — Chief Accounting Officer
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 7:00 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 | 6,829 | — | A | 15,244 | D | |
| Common StockF3 | Mar 30, 2015 | S | 6,829 | $43.543 | D | 8,415 | 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.
- F2The reported disposition includes the sale of a portion of vested shares made in connection with tax withholding obligations arising from the delivery of common stock underlying the restricted stock units described in footnote 1. The disposition also includes shares that 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.
- F3This transaction was executed in multiple trades at prices ranging from $43.5410 to $43.5440. 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.