SEC Form 4 · accession 0001127602-15-034633
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles P Nelson
Officer — CEO, Retirement
Period of report
Dec 16, 2015
Accepted (ET)
Dec 18, 2015 · 5:28 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 | 111,200 | A | — | Dec 16, 2025 | Common Stock | 111,200 | 111,200 | 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.