SEC Form 4 · accession 0001127602-17-006325
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Ferrara
Officer — See Remarks
Period of report
Feb 15, 2017
Accepted (ET)
Feb 15, 2017 · 4:41 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 StockF1 | Feb 15, 2017 | S | 2,358 | $42.5221 | D | 15,557 | 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 | 9,608 | 9,608 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 26,142 | 26,142 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $42.521 to $42.525. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- 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 of Operations and Continuous Improvement (CI)