SEC Form 4 · accession 0001127602-16-063727
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruth Ann M Gillis
Director
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 5:38 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 StockF1 | holding | — | — | — | 2,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Fee Plan Issuer Stock UnitsF3,F2 | — | Sep 29, 2016 | J | 1 | A | — | — | Common Stock | 1 | 2,349 | D |
| Deferred Fee Plan Issuer Stock UnitsF2 | — | Sep 30, 2016 | A | 1,084 | A | — | — | Common Stock | 1,084 | 3,434 | D |
| Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 4,877 | 4,877 | D |
Explanation of responses
- F1These shares are held in a trust for the benefit of the reporting person's children. The reporting person is the trustee of the trust.
- F2Each of these units represents a right to receive the cash value of one share of the company's common stock upon the reporting person's separation from the company or on an earlier in-service date that the reporting person elected. The reporting person may reallocate investments in these units to alternative investments in the future.
- F3Dividend payment
- F4Each stock unit represents a conditional right to receive one share of the company's common stock.
- F5The stock units will vest based on their respective award agreements.