Filing Details
- Accession Number:
- 0001127602-20-007629
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-25 16:28:53
- Reporting Period:
- 2020-02-21
- Accepted Time:
- 2020-02-25 16:28:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1236604 | Jr O Rodney Martin | 230 Park Avenue New York NY 10169 | Chairman And Ceo | Yes | 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 | 2020-02-21 | 198,373 | $0.00 | 357,746 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-21 | 105,044 | $63.19 | 252,702 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2020-02-24 | 13,019 | $59.63 | 239,683 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-24 | 4,575 | $60.52 | 235,108 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-24 | 2,651 | $61.59 | 232,457 | 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 | |
| No | 4 | S | 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 | 2020-02-21 | 65,721 | $0.00 | 65,721 | $0.00 |
| Common Stock | Performance Stock Unit | Disposition | 2020-02-21 | 88,435 | $0.00 | 132,652 | $1.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 124,612 | No | 4 | M | Direct | ||
| 247,747 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,368 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Deferred Savings Plan Issuer Stock Units | $0.00 | 7,678 | 7,678 | Direct | ||
| Common Stock | Performance-Based Stock Options | $0.00 | 158,900 | 158,900 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 7,678 | 7,678 | Direct | |
| 158,900 | 158,900 | 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.
- As previously disclosed on the Company's Form 8-K dated September 24, 2019, the sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 3, 2019.
- This transaction was executed in multiple trades at prices ranging from $59.1300 to $60.1150. 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 issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- This transaction was executed in multiple trades at prices ranging from $60.1400 to $61.1000. 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 issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- This transaction was executed in multiple trades at prices ranging from $61.1900 to $61.9200. 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 issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
- Each 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.
- The options vest based on the conditions set forth in their respective agreements.
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