SEC Form 4 · accession 0001127602-16-067044
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Smith
Officer — See Remarks
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 6:09 pm EST
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 | — | — | — | 48,309 | D |
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 | — | Nov 10, 2016 | A | 16,769 | A | — | — | Common Stock | 16,769 | 70,261 | D |
| Performance Stock UnitF4,F5 | — | holding | — | — | — | — | — | Common Stock | 40,833 | 40,833 | 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 November 10, 2016, the date of the grant.
- F31/3 of the restricted stock units will vest on the first, second and third anniversary of the grant date.
- F4The stock units will vest based on their respective award agreements.
- F5The 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 vesting can range from 0% to 150% of the number presented above.
Remarks
Chief Financial Officer (CFO)