SEC Form 4 · accession 0001127602-17-010953

Voya Financial, Inc. · VOYA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Charles P Nelson

Officer — CEO, Retirement

Period of report

Mar 4, 2016

Accepted (ET)

Mar 8, 2017 · 8:57 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	—	—		—	3,602	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Savings Plan Issuer Stock Units^F1	—	Mar 4, 2016	A	466	A	—	—	Common Stock	466	466	D
Deferred Savings Plan Issuer Stock Units^F1	—	Mar 15, 2016	A	11	A	—	—	Common Stock	11	477	D
Deferred Savings Plan Issuer Stock Units^F1	—	Mar 31, 2016	A	12	A	—	—	Common Stock	12	489	D
Deferred Savings Plan Issuer Stock Units^F1	—	Apr 15, 2016	A	11	A	—	—	Common Stock	11	500	D
Deferred Savings Plan Issuer Stock Units^F1	—	Apr 29, 2016	A	11	A	—	—	Common Stock	11	511	D
Deferred Savings Plan Issuer Stock Units^F1	—	May 13, 2016	A	12	A	—	—	Common Stock	12	522	D
Deferred Savings Plan Issuer Stock Units^F1	—	May 31, 2016	A	11	A	—	—	Common Stock	11	533	D
Deferred Savings Plan Issuer Stock Units^F1	—	Jun 15, 2016	A	12	A	—	—	Common Stock	12	545	D
Deferred Savings Plan Issuer Stock Units^F1	—	Jun 30, 2016	A	14	A	—	—	Common Stock	14	559	D
Deferred Savings Plan Issuer Stock Units^F1	—	Jul 15, 2016	A	14	A	—	—	Common Stock	14	573	D
Deferred Savings Plan Issuer Stock Units^F1	—	Jul 29, 2016	A	14	A	—	—	Common Stock	14	587	D
Deferred Savings Plan Issuer Stock Units^F1	—	Aug 15, 2016	A	13	A	—	—	Common Stock	13	599	D
Deferred Savings Plan Issuer Stock Units^F1	—	Aug 31, 2016	A	12	A	—	—	Common Stock	12	611	D
Deferred Savings Plan Issuer Stock Units^F1	—	Sep 15, 2016	A	12	A	—	—	Common Stock	12	623	D
Deferred Savings Plan Issuer Stock Units^F1	—	Sep 30, 2016	A	12	A	—	—	Common Stock	12	636	D
Deferred Savings Plan Issuer Stock Units^F1	—	Oct 14, 2016	A	12	A	—	—	Common Stock	12	647	D
Deferred Savings Plan Issuer Stock Units^F1	—	Oct 31, 2016	A	11	A	—	—	Common Stock	11	659	D
Deferred Savings Plan Issuer Stock Units^F1	—	Nov 15, 2016	A	9	A	—	—	Common Stock	9	668	D
Deferred Savings Plan Issuer Stock Units^F1	—	Nov 30, 2016	A	9	A	—	—	Common Stock	9	677	D
Deferred Savings Plan Issuer Stock Units^F1	—	Dec 15, 2016	A	9	A	—	—	Common Stock	9	686	D
Deferred Savings Plan Issuer Stock Units^F1	—	Dec 30, 2016	A	9	A	—	—	Common Stock	9	695	D
Deferred Savings Plan Issuer Stock Units^F1	—	Mar 6, 2017	A	390	A	—	—	Common Stock	390	1,084	D
Performance Stock Unit^F2,F3	—	holding	—	—	—	—	—	Common Stock	66,681	66,681	D
Restricted Stock Units^F2	—	holding	—	—	—	—	—	Common Stock	79,753	79,753	D

Explanation of responses

F1Each 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.
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.