SEC Form 4 · accession 0001127602-17-013631
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruth Ann M Gillis
Director
Period of report
Mar 31, 2017
Accepted (ET)
Apr 3, 2017 · 5:53 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 | holding | — | — | — | 2,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Mar 31, 2017 | A | 3,029 | A | — | — | Common Stock | 3,029 | 7,906 | D |
| Deferred Fee Plan Issuer Stock UnitsF4 | — | Mar 31, 2017 | A | 247 | A | — | — | Common Stock | 247 | 4,479 | D |
Explanation of responses
- F1These shares are held in a trust for the benefit of the reporting person's children. The reporting person is the trustee of the trust.
- F2Each stock unit represents a conditional right to receive one share of the company's common stock.
- F3100% of the restricted stock units will vest on March 31, 2018.
- F4Each 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 or on an earlier in-service date that the reporting person elected. The reporting person may reallocate investments in these units to alternative investments in the future.