SEC Form 4 · accession 0001127602-18-013390
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 29, 2018
Accepted (ET)
Apr 2, 2018 · 5:33 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Fee Plan Issuer Stock UnitsF2 | — | Mar 29, 2018 | I | 4,236 | D | — | — | Common Stock | 4,236 | 926 | D |
| Deferred Fee Plan Issuer Stock UnitsF3 | — | Mar 29, 2018 | A | 186 | A | — | — | Common Stock | 186 | 1,112 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 7,906 | 7,906 | 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 is the economic equivalent of one share of common stock and is settled in cash. The stock units become payable in accordance with the terms of the deferred compensation plan.
- F3Each 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.
- F4The stock units will vest based on their respective award agreements.