SEC Form 4 · accession 0001127602-17-010959
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
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 9:15 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 | Mar 6, 2017 | M | 20,930 | — | A | 55,749 | D | |
| Common Stock | Mar 6, 2017 | F | 11,684 | $41.35 | D | 44,065 | D | |
| Common StockF2 | Mar 7, 2017 | S | 9,246 | $41.1125 | D | 34,819 | D | |
| Common StockF3 | Mar 7, 2017 | M | 27,441 | — | A | 62,260 | D | |
| Common Stock | Mar 7, 2017 | F | 15,319 | $41.09 | D | 46,941 | D | |
| Common StockF4 | Mar 8, 2017 | S | 12,122 | $41.3683 | D | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5 | — | Mar 6, 2017 | M | 9,118 | D | — | — | Common Stock | 9,118 | 114,318 | D |
| Performance Stock UnitF6 | $1.06 | Mar 6, 2017 | M | 11,144 | D | — | — | Common Stock | 11,812 | 87,725 | D |
| Restricted Stock UnitsF5 | — | Mar 7, 2017 | M | 27,441 | D | — | — | Common Stock | 27,441 | 86,877 | D |
Explanation of responses
- F1Delivery of shares of the company's common stock was made to the reporting person without the payment of any consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation.
- F2This transaction was executed in multiple trades at prices ranging from $41.0686 to $41.1300. 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 company, or a security holder of the company, full information regarding the shares sold at each separate price.
- F3Delivery of shares of the company's common stock was made to the reporting person without the payment of any consideration in connection with the vesting of the underlying restricted stock units that were awarded as compensation.
- F4This transaction was executed in multiple trades at prices ranging from $41.3500 to $41.4500. 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 company, or a security holder of the company, full information regarding the shares sold at each separate price.
- F5The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- F6The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
Remarks
Executive Vice President and Chief Operating Officer