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Voya Financial, Inc. — Director's Dealing 2018
Feb 23, 2018
30803_dirs_2018-02-23_b14b2f6c-6146-4985-b8bf-a4992940d1ba.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: 2018-02-21
Reporting Person: Ferrara Nancy (See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-22 | Common Stock | M | 1932 | — | Acquired | 19711 | Direct |
| 2018-02-22 | Common Stock | F | 545 | $50.71 | Disposed | 19166 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-21 | Restricted Stock Units | $ | A | 4899 | Acquired | Common Stock (4899) | Direct | |
| 2018-02-21 | Performance Stock Unit | $ | A | 5684 | Acquired | Common Stock (5684) | Direct | |
| 2018-02-22 | Restricted Stock Units | $ | M | 1932 | Disposed | Common Stock (1932) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Deferred Savings Plan Issuer Stock Units | $ | Common Stock (6766.293) | 6766.293 | 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: Each stock unit represents a conditional right to receive one share of the company's common stock.
F3: 1/3 of the restricted stock units will vest on February 21, 2019, 1/3 on February 21, 2020 and 1/3 on February 21, 2021.
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 (February 21, 2021) can range from 0% to 150% of the number presented above.
F5: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F6: 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.