SEC Form 4/A · accession 0001127602-18-009732
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles P Nelson
Officer — CEO, Retirement
Period of report
Feb 21, 2018
Accepted (ET)
Mar 2, 2018 · 5:10 pm 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 | — | — | — | 15,999 | 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,F1,F3 | — | Feb 21, 2018 | A | 24,576 | A | — | — | Common Stock | 24,576 | 91,257 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 78,638 | 78,638 | D |
| Deferred Savings Plan Issuer Stock UnitsF5 | — | holding | — | — | — | — | — | Common Stock | 1,264 | 1,264 | D |
Explanation of responses
- F1Each stock unit represents a conditional right to receive one share of the company's common stock.
- F2Corrects an error in the calculation of the number of units granted that was previously reported.
- 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 (February 21, 2021) can range from 0% to 150% of the number presented above.
- F4The stock units will vest based on their respective award agreements.
- 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.