SEC Form 4 · accession 0001127602-15-024825
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
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 9:12 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 StockF2,F3 | Aug 10, 2015 | S | 38,495 | $45.4768 | D | 5,100 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2015.
- F2This transaction was executed in multiple trades at prices ranging from $45.26 to $45.66. 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.
- F3Following the transaction reported on this Form 4, Mr. Karaoglan continues to hold 114,433 unvested restricted stock units and 33,433 unvested performance stock units of the Company.
Remarks
Executive Vice President, Chief Operating Officer and CEO of Retirement and Investment Solutions