SEC Form 4 · accession 0001127602-19-010866
Voya Financial, Inc. · VOYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Ferrara
Officer — See Remarks
Period of report
Mar 7, 2019
Accepted (ET)
Mar 11, 2019 · 5:45 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 | Mar 7, 2019 | M | 11,470 | — | A | 39,888 | D | |
| Common Stock | Mar 7, 2019 | F | 4,250 | $49.10 | D | 35,638 | D |
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 | — | Mar 7, 2019 | M | 2,690 | D | — | — | Common Stock | 2,690 | 17,179 | D |
| Performance Stock UnitF3 | $1.33 | Mar 7, 2019 | M | 6,602 | D | — | — | Common Stock | 8,780 | 18,068 | D |
| Performance-Based Stock OptionsF4 | — | holding | — | — | — | — | — | Common Stock | 106,974 | 106,974 | D |
| Deferred Savings Plan Issuer Stock UnitsF5 | — | holding | — | — | — | — | — | Common Stock | 7,054 | 7,054 | D |
Explanation of responses
- F1Delivery of shares of the company's common stock was made to the reporting person without the payment of any consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation.
- F2The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- F3The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
- F4The options vest based on the conditions set forth in their respective 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.
Remarks
Executive Vice President of Operations and Continuous Improvement (CI)