SEC Form 4 · accession 0001127602-17-020683
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney O Martin Jr.
Officer — Chairman and CEO · Director
Period of report
Jun 2, 2017
Accepted (ET)
Jun 6, 2017 · 4:37 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 StockF2 | Jun 2, 2017 | P | 8,475 | $35.288 | A | 114,221 | D | |
| Common Stock | holding | — | — | — | 4,122 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 227,249 | 227,249 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Common Stock | 186,514 | 186,514 | D |
| Deferred Savings Plan Issuer Stock UnitsF5 | — | holding | — | — | — | — | — | Common Stock | 7,621 | 7,621 | D |
Explanation of responses
- F1The reporting person's purchase of shares reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended. The reporting person has voluntarily disgorged to the Company the Section 16 profit realized in connection with the transaction.
- F2This transaction was executed in multiple trades at prices ranging from $35.27 to $35.29. 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 stock units will vest based on their respective award agreements.
- F4The 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.
- F5Each 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.