SEC Form 4 · accession 0001127602-17-010976
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Ferrara
Officer — See Remarks
Period of report
Sep 30, 2016
Accepted (ET)
Mar 9, 2017 · 6:14 am 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 | — | — | — | 15,557 | 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 UnitsF1 | — | Sep 30, 2016 | A | 9 | A | — | — | Common Stock | 9 | 5,033 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Oct 14, 2016 | A | 7 | A | — | — | Common Stock | 7 | 5,040 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Oct 31, 2016 | A | 7 | A | — | — | Common Stock | 7 | 5,046 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Nov 15, 2016 | A | 5 | A | — | — | Common Stock | 5 | 5,052 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Nov 30, 2016 | A | 5 | A | — | — | Common Stock | 5 | 5,057 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Dec 15, 2016 | A | 5 | A | — | — | Common Stock | 5 | 5,062 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Dec 30, 2016 | A | 6 | A | — | — | Common Stock | 6 | 5,068 | D |
| Deferred Savings Plan Issuer Stock UnitsF1 | — | Mar 6, 2017 | A | 1,609 | A | — | — | Common Stock | 1,609 | 6,678 | D |
| Performance Stock UnitF2,F3 | — | holding | — | — | — | — | — | Common Stock | 16,960 | 16,960 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 31,938 | 31,938 | 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.
Remarks
Executive Vice President of Operations and Continuous Improvement (CI)