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Voya Financial, Inc. — Director's Dealing 2016
Mar 30, 2016
30803_dirs_2016-03-30_ad167e56-c374-4361-8afe-5a3ddba75488.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Voya Financial, Inc. (VOYA)
CIK: 0001535929
Period of Report: 2016-03-28
Reporting Person: MARTIN RODNEY O JR (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-03-28 | Common Stock | M | 19373 | — | Acquired | 170905 | Direct |
| 2016-03-28 | Common Stock | F | 10802 | $30.45 | Disposed | 160103 | Direct |
| 2016-03-29 | Common Stock | S | 2324 | $30.336 | Disposed | 157779 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-03-28 | Restricted Stock Units | $ | M | 19373 | Disposed | Common Stock (19373) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3527.1816 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Performance Stock Unit | $ | Common Stock (165348) | 165348 | Direct | |
| Deferred Savings Plan Issuer Stock Units | $ | Common Stock (7301.515) | 7301.515 | Direct |
Footnotes
F1: 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.
F2: The restricted stock units were awarded as compensation in 2013 and converted to common stock on a 1 to 1 basis upon the vesting date.
F3: The stock units will vest based on their respective award agreements.
F4: 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.
F5: 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.