SEC Form 4 · accession 0001127602-17-010970
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clyde Landon Cobb Jr.
Officer — See Remarks
Period of report
Mar 7, 2017
Accepted (ET)
Mar 8, 2017 · 9:35 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 7, 2017 | M | 1,169 | — | A | 1,169 | D | |
| Common StockF2 | Mar 7, 2017 | F | 450 | $41.3886 | D | 719 | 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 7, 2017 | M | 1,169 | D | — | — | Common Stock | 1,169 | 5,043 | D |
| Performance Stock UnitF4,F5 | — | holding | — | — | — | — | — | Common Stock | 5,167 | 5,167 | 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 that were awarded as compensation.
- F2This transaction was executed in multiple trades at prices ranging from $41.351 to $41.66. 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.
- F3The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- F4The stock units will vest based on their respective award agreements.
- F5The 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 vesting can range from 0% to 150% of the number presented above.
Remarks
Chief Accounting Officer and Controller