Filing Details
- Accession Number:
- 0001127602-16-045791
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-09 17:28:16
- Reporting Period:
- 2016-03-07
- Filing Date:
- 2016-03-09
- Accepted Time:
- 2016-03-09 17:28:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1535929 | Voya Financial Inc. | VOYA | Life Insurance (6311) | 521222820 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1574918 | L Ewout Steenbergen | 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 | 32,981 | $0.00 | 32,981 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-07 | 18,219 | $31.35 | 14,762 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-03-08 | 9,665 | $30.85 | 5,097 | 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 | 26,660 | $0.00 | 26,660 | $0.00 |
| Common Stock | Performance Stock Unit | Disposition | 2016-03-07 | 5,908 | $0.00 | 6,321 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2016-03-07 | 48,489 | $0.00 | 48,489 | $0.00 |
| Common Stock | Performance Stock Unit | Acquisiton | 2016-03-07 | 59,265 | $0.00 | 59,265 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,070 | No | 4 | M | Direct | ||
| 11,816 | No | 4 | M | Direct | ||
| 87,559 | No | 4 | A | Direct | ||
| 71,081 | No | 4 | A | Direct |
Footnotes
- 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.
- This transaction was executed in multiple trades at prices ranging from $30.818 to $30.90. 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.
- 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.
- The performance stock units were awarded as compensation in 2015 and converted to common stock based on the achievement of certain performance factors.
- Each stock unit represents a conditional right to receive one share of the company's common stock.
- 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.
- 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.
- 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.
Billionaire Hedge Funds
