Silva Kevin D's Form 4/A amendment
AmendedVoya Financial, Inc. (VOYA) · filed Mar 2, 2022
- Accession no.
- 0001127602-22-007773
- Filed
- Mar 2, 2022
- Trade date
- Feb 22, 2022
- Filing delay
- 8 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 24, 2022
This filing lists 1 derivative transaction. It carries over 10 transactions from the original filing that it did not restate. Open-market sales total $839.7K. It was filed 8 days after the trade.
This amendment restates part of 0001127602-22-006675 (filed Feb 24, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Silva Kevin DCIK 0001237581 | Officer (See Remarks) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Common Stock | AGrant or awardAcquired | +12,397 | $0.00 | $0 | 37,065 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001127602-22-006675 (filed Feb 24, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Common Stock | MOption exerciseAcquired | +24,081 | $0.00F1 | $0 | 35,460 | Direct | |
| Feb 22, 2022 | Common Stock | FTax withholdingDisposed | −11,876 | $68.32 | −$811,368.32 | 23,584 | Direct | |
| Feb 22, 2022 | Common Stock | GGiftDisposed | −1,428 | $0.00 | $0 | 22,156 | Direct | |
| Feb 22, 2022 | Common Stock | MOption exerciseAcquired | +459 | $0.00 | $0 | 22,615 | Direct | |
| Feb 22, 2022 | Common Stock | FTax withholdingDisposed | −459 | $68.32 | −$31,358.88 | 22,156 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −12,205 | $68.80 | −$839,704 | 9,951 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2022 | Common Stock | MOption exerciseDisposed | −15,289 | $0.00 | $0 | 24,668 | Direct | |
| Feb 22, 2022 | Common Stock | MOption exerciseDisposed | −8,792 | $0.00 | $0 | 9,166 | Direct | |
| Feb 22, 2022 | Common Stock | AGrant or awardAcquired | +10,003 | $0.00 | $0 | 19,169 | Direct | |
| Feb 22, 2022 | Common Stock | MOption exerciseDisposed | −459 | $0.00 | $0 | 18,710 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- 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.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
- F2
The reporting person's original Form 4 filed on February 24, 2022 inadvertently understated the amount of performance stock units awarded to the reporting person on the transaction date by 741 shares.
Remarks
Executive Vice President and Chief Human Resources Officer