SEC Form 4 · accession 0001127602-17-020678
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
Jun 2, 2017
Accepted (ET)
Jun 6, 2017 · 4:31 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 | Jun 2, 2017 | P | 5,000 | $35.2403 | A | 69,142 | 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 | 58,677 | 58,677 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 63,154 | 63,154 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $35.236 to $35.25. 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.
- 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 vesting can range from 0% to 150% of the number presented above.
Remarks
Executive Vice President and Chief Financial Officer