SEC Form 4 · accession 0001127602-17-013605
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Alain M Karaoglan
Officer — See Remarks
Period of report
Mar 31, 2017
Accepted (ET)
Apr 3, 2017 · 5:31 pm EDT
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 31, 2017 | P | 824 | $36.1665 | A | 35,643 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitF2,F3 | — | holding | — | — | — | — | — | Common Stock | 87,725 | 87,725 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 74,641 | 74,641 | D |
Explanation of responses
- F1These shares were purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP").
- 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 and Chief Operating Officer