SEC Form 4 · accession 0001127602-17-010963
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
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 9:21 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 | 13,447 | — | A | 61,756 | D | |
| Common Stock | Mar 6, 2017 | F | 6,872 | $41.35 | D | 54,884 | D | |
| Common StockF2 | Mar 7, 2017 | M | 12,556 | — | A | 67,440 | D | |
| Common Stock | Mar 7, 2017 | F | 7,010 | $41.09 | D | 60,430 | 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 UnitsF3 | — | Mar 6, 2017 | M | 5,858 | D | — | — | Common Stock | 5,858 | 84,113 | D |
| Performance Stock UnitF4 | $1.06 | Mar 6, 2017 | M | 7,160 | D | — | — | Common Stock | 7,589 | 58,677 | D |
| Restricted Stock UnitsF3 | — | Mar 7, 2017 | M | 12,556 | D | — | — | Common Stock | 12,556 | 71,557 | 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.
- F2Delivery 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.
- F3The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- F4The 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 Financial Officer