SEC Form 4 · accession 0001127602-17-008290
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney O Martin Jr.
Officer — Chairman and CEO · Director
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 6:28 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 | — | — | — | 57,779 | D | ||
| Common Stock | holding | — | — | — | 3,889 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 22, 2017 | A | 69,713 | A | — | — | Common Stock | 69,713 | 292,067 | D |
| Performance Stock UnitF1,F3 | — | Feb 22, 2017 | A | 88,435 | A | — | — | Common Stock | 88,435 | 253,783 | D |
| Deferred Savings Plan Issuer Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 7,621 | 7,621 | D |
Explanation of responses
- F1Each stock unit represents a conditional right to receive one share of the company's common stock.
- F21/3 of the restricted stock units will vest on February 22, 2018, 1/3 on February 22, 2019 and 1/3 on February 22, 2020.
- 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 (February 22, 2020) can range from 0% to 150% of the number presented above.
- F4Each 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. The reporting person may reallocate investments in these units to alternative investments in the future.