SEC Form 4 · accession 0001127602-16-059633
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
Aug 4, 2016
Accepted (ET)
Aug 5, 2016 · 4:55 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 | — | — | — | 3,602 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitF1,F2,F3 | — | Aug 4, 2016 | A | 6,147 | A | — | — | Common Stock | 6,147 | 40,946 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 59,467 | 59,467 | D |
Explanation of responses
- F1Each stock unit represents a conditional right to receive a number of the Issuer's common stock. See footnote (3) below.
- F2The performance stock units will vest on May 1, 2018.
- F3The 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 can range from 0% to 150% of the number presented above.
- F4The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.