SEC Form 4 · accession 0001127602-15-034628
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
Dec 16, 2015
Accepted (ET)
Dec 18, 2015 · 5:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001535929
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Performance-Based Stock OptionsF1,F2 | $37.60 | Dec 16, 2015 | A | 119,200 | A | — | Dec 16, 2025 | Common Stock | 119,200 | 119,200 | D |
Explanation of responses
- F1The options are subject to vesting conditions based on the achievement over a four quarter period of specified levels of Ongoing Business Adjusted Operating Return on Equity. The options generally become exercisable one year following achievement of the relevant vesting condition.
- F2To the extent that the relevant vesting condition discussed in footnote (1) has not been met by December 31, 2018, any unvested options will expire without value.
Remarks
Executive Vice President, Chief Operating Officer and CEO of Retirement and Investment Solutions