SEC Form 4 · accession 0001127602-16-064179
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alain M Karaoglan
Officer — See Remarks
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 6:10 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 | Sep 30, 2016 | P | 820 | $26.8945 | A | 34,819 | 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 UnitF2,F3 | — | holding | — | — | — | — | — | Common Stock | 65,517 | 65,517 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 97,145 | 97,145 | D |
Explanation of responses
- F1These shares purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP") and the decision to participate in the ESPP was made in March 2016.
- F2The stock units will vest based on their respective award agreements.
- 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.
Remarks
Executive Vice President and Chief Operating Officer