Filing Details
- Accession Number:
- 0001127602-19-032375
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-08 18:55:27
- Reporting Period:
- 2019-11-07
- Accepted Time:
- 2019-11-08 18:55:27
- 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 | Disposition | 2019-11-07 | 129,684 | $57.86 | 159,373 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,145 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Stock Unit | $0.00 | 253,421 | 253,421 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 130,649 | 130,649 | Direct | ||
| Common Stock | Deferred Savings Plan Issuer Stock Units | $0.00 | 7,659 | 7,659 | Direct | ||
| Common Stock | Performance-Based Stock Options | $0.00 | 158,900 | 158,900 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 253,421 | 253,421 | Direct | |
| 130,649 | 130,649 | Direct | |
| 7,659 | 7,659 | Direct | |
| 158,900 | 158,900 | Direct |
Footnotes
- 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 $57.23 to $58.115. 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 stock units will vest based on their respective award agreements.
- 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 can range from 0% to 150% of the number presented above.
- 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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