SEC Form 4 · accession 0001127602-16-046849
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney O Martin Jr.
Officer — Chairman and CEO · Director
Period of report
Mar 15, 2016
Accepted (ET)
Mar 17, 2016 · 6:36 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 Stock | holding | — | — | — | 3,527 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 151,532 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Mar 15, 2016 | A | 16 | A | — | — | Common Stock | 16 | 7,302 | D |
| Restricted Stock UnitsF2,F3 | — | holding | — | — | — | — | — | Common Stock | 241,727 | 241,727 | D |
| Performance Stock UnitF2,F3 | — | holding | — | — | — | — | — | Common Stock | 165,348 | 165,348 | D |
Explanation of responses
- F1Each of these units represents a right to receive the cash value of one share of the issuer's common stock upon the reporting person's separation from the issuer. The reporting person may reallocate investments in these units to alternative investments in the future.
- F2Each stock unit represents a conditional right to receive one share of the company's common stock.
- F3The stock units will vest based on their respective award agreements.