Filing Details

Accession Number:
0001127602-17-010961
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-08 21:18:27
Reporting Period:
2017-03-06
Filing Date:
2017-03-08
Accepted Time:
2017-03-08 21:18:27
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 2017-03-06 49,836 $0.00 107,615 No 4 M Direct
Common Stock Disposition 2017-03-06 27,820 $41.35 79,795 No 4 F Direct
Common Stock Acquisiton 2017-03-07 64,468 $0.00 144,263 No 4 M Direct
Common Stock Disposition 2017-03-07 35,988 $41.09 108,275 No 4 F Direct
Common Stock Disposition 2017-03-08 2,529 $41.56 105,746 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
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 2017-03-06 21,710 $0.00 21,710 $0.00
Common Stock Performance Stock Unit Disposition 2017-03-06 26,534 $0.00 28,126 $1.06
Common Stock Restricted Stock Units Disposition 2017-03-07 64,468 $0.00 64,468 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
270,357 No 4 M Direct
227,249 No 4 M Direct
205,889 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,098 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 7,621 7,621 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
7,621 7,621 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. 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 that were awarded as compensation.
  3. The shares being sold are vested equity awards representing annual incentive payments made with respect to the 2013 performance year, which were mandatorily deferred pursuant to European executive compensation regulations.
  4. This transaction was executed in multiple trades at prices ranging from $41.5400 to $41.6150. 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 security holder of the company, full information regarding the shares sold at each separate price.
  5. The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
  6. The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
  7. 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.