SEC Form 4 · accession 0001127602-16-045753
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
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 5:13 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1,F3 | — | Mar 7, 2016 | A | 25,119 | A | — | — | Common Stock | 25,119 | 64,931 | D |
| Performance Stock UnitF2,F1,F4 | — | Mar 7, 2016 | A | 30,701 | A | — | — | Common Stock | 30,701 | 34,799 | D |
Explanation of responses
- F1Each stock unit represents a conditional right to receive one share of the company's common stock.
- F2The number of stock units granted was determined by reference to the closing price of a share of the company's common stock on March 7, 2016, the date of the grant.
- F31/3 of the restricted stock units will vest on March 7, 2017, 1/3 on March 7, 2018 and 1/3 on March 7, 2019.
- F4The number of shares of common stock that will be delivered for each performance stock unit depends on the achievement of certain performance factors. Depending on actual performance, the number of shares of common stock delivered upon the vesting date (March 7, 2019) can range from 0% to 150% of the number presented above.