Filing Details
- Accession Number:
- 0001127602-21-011413
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-18 16:40:59
- Reporting Period:
- 2021-03-16
- Accepted Time:
- 2021-03-18 16:40:59
- 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 |
|---|---|---|---|---|---|---|---|
| 1852036 | L. Robert Grubka | 230 Park Avenue New York NY 10169 | Ceo, Health Solutions | 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 | 2021-03-16 | 27,800 | $37.60 | 44,939 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-16 | 21,549 | $64.10 | 23,390 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2021-03-16 | 6,251 | $64.11 | 17,139 | 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 | Performance-Based Stock Options | Disposition | 2021-03-16 | 27,800 | $0.00 | 27,800 | $37.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-12-16 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 401(k) Plan Issuer Stock Units | $0.00 | 1,787 | 1,787 | Direct | ||
| Common Stock | Deferred Savings Plan Issuer Stock Units | $0.00 | 374 | 374 | Direct | ||
| Common Stock | Performance Stock Unit | $0.00 | 20,438 | 20,438 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 14,098 | 14,098 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,787 | 1,787 | Direct | |
| 374 | 374 | Direct | |
| 20,438 | 20,438 | Direct | |
| 14,098 | 14,098 | Direct |
Footnotes
- These common shares were delivered to the issuer to pay the options' exercise price and applicable tax due upon vesting of the stock options.
- This transaction was executed in multiple trades at prices ranging from $64.1101 to $64.1370. The price report 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 security holder of the company, full information regarding the shares sold at each separate price.
- 25% of the options were exercisable on March 31, 2018. 75% of the options were exercisable on June 30, 2018.
- 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 performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
- The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
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