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Voya Financial, Inc. — Director's Dealing 2017
Mar 8, 2017
30803_dirs_2017-03-08_8606e3c6-0186-49e9-8ccc-04c584883a1e.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: 2017-03-06
Reporting Person: Hurtsellers Christine (See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-06 | Common Stock | M | 11247 | — | Acquired | 11247 | Direct |
| 2017-03-06 | Common Stock | F | 5396 | $41.35 | Disposed | 5851 | Direct |
| 2017-03-07 | Common Stock | S | 5851 | $41.0912 | Disposed | 0 | Direct |
| 2017-03-07 | Common Stock | M | 18986 | — | Acquired | 18986 | Direct |
| 2017-03-07 | Common Stock | F | 9107 | $41.09 | Disposed | 9879 | Direct |
| 2017-03-08 | Common Stock | S | 9879 | $41.3763 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-06 | Restricted Stock Units | $ | M | 8820 | Disposed | Common Stock (8820) | Direct | |
| 2017-03-06 | Performance Stock Unit | $1.0598 | M | 2290 | Disposed | Common Stock (2427) | Direct | |
| 2017-03-07 | Restricted Stock Units | $ | M | 18986 | Disposed | Common Stock (18986) | 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 and performance stock units that were awarded as compensation.
F2: This transaction was executed in multiple trades at prices ranging from $41.0700 to $41.0934. 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.
F3: 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.
F4: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F5: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.