Filing Details
- Accession Number:
- 0001127602-19-008235
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-25 21:23:49
- Reporting Period:
- 2019-02-21
- Accepted Time:
- 2019-02-25 21:23:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1237581 | D Kevin Silva | 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 | 2019-02-21 | 3,413 | $0.00 | 12,683 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-02-21 | 1,628 | $50.03 | 11,055 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2019-02-21 | 506 | $0.00 | 11,561 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-02-21 | 506 | $50.03 | 11,055 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2019-02-22 | 892 | $50.04 | 10,163 | 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 | 2019-02-21 | 3,413 | $0.00 | 3,413 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2019-02-21 | 9,399 | $0.00 | 9,399 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2019-02-21 | 506 | $0.00 | 506 | $0.00 |
| Common Stock | Performance Stock Unit | Acquisiton | 2019-02-21 | 11,852 | $0.00 | 11,852 | $0.00 |
| Common Stock | Performance-Based Stock Options | Acquisiton | 2019-02-21 | 71,174 | $0.00 | 71,174 | $50.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 19,169 | No | 4 | M | Direct | ||
| 28,568 | No | 4 | A | Direct | ||
| 28,062 | No | 4 | M | Direct | ||
| 56,188 | No | 4 | A | Direct | ||
| 158,574 | 2029-02-21 | 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 that were awarded as compensation.
- FICA tax withholding on the grant of restricted stock units.
- The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
- Each stock unit represents a conditional right to receive one share of the company's common stock.
- 1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.
- 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 (February 21, 2022) can range from 0% to 150% of the number presented above.
- The options are subject to vesting conditions based on the achievement of certain cost saving targets. The options generally become exercisable one year following achievement of the relevant vesting condition.
- To the extent that the relevant vesting condition discussed in footnote (7) has not been met by December 31, 2020, any unvested options will be forfeited.
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