Filing Details

Accession Number:
0001127602-16-045768
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-03-09 17:19:53
Reporting Period:
2016-03-07
Filing Date:
2016-03-09
Accepted Time:
2016-03-09 17:19:53
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1535929 Voya Financial Inc. VOYA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1413593 T Jeffrey Becker 230 Park Avenue
New York NY 10169
See Remarks No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-03-07 43,231 $0.00 61,992 No 4 M Direct
Common Stock Disposition 2016-03-07 21,326 $31.35 40,666 No 4 F Direct
Common Stock Disposition 2016-03-08 21,905 $30.76 18,761 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2016-03-07 35,579 $0.00 35,579 $0.00
Common Stock Performance Stock Unit Disposition 2016-03-07 7,152 $0.00 7,652 $0.00
Common Stock Restricted Stock Units Acquisiton 2016-03-07 31,650 $0.00 31,650 $0.00
Common Stock Performance Stock Unit Acquisiton 2016-03-07 38,684 $0.00 38,684 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
55,761 No 4 M Direct
14,304 No 4 M Direct
87,411 No 4 A Direct
52,988 No 4 A Direct
Footnotes
  1. Delivery 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.
  2. This transaction was executed in multiple trades at prices ranging from $30.70 to $30.925. 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 securityholder of the company, full information regarding the shares sold at each separate price.
  3. The restricted stock units were awarded as compensation in 2014 and 2015 and converted to common stock on a 1 to 1 basis upon the vesting date.
  4. The performance stock units were awarded as compensation in 2015 and converted to common stock based on the achievement of certain performance factors.
  5. Each stock unit represents a conditional right to receive one share of the company's common stock.
  6. The number of stock units granted was determined by reference to the closing price of a share of the company's common stock on March 7, 2016, the date of the grant.
  7. 1/3 of the restricted stock units will vest on March 7, 2017, 1/3 on March 7, 2018 and 1/3 on March 7, 2019.
  8. The 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 (March 7, 2019) can range from 0% to 150% of the number presented above.