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VOYA

Voya Financial, Inc.

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3571
SEC CIK
0001535929
Parsed reports
897

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202600
Feb 202602
Mar 202601
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 21, 2019 Filed Feb 25, 2019 21:39 UTC Exercise / conversionRestricted Stock Units · Derivative 3,429 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008241 · form4.xml · derivative · entry 3

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,160

Underlying: Common Stock · 3,429 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · deemedExecutionDate: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
February 21, 2019 Filed Feb 25, 2019 21:39 UTC Tax withholdingCommon Stock 1,574 $50.03 $78,747.22
Disclosure

SEC source: 0001127602-19-008241 · form4.xml · nonDerivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,604

Read SEC document
February 21, 2019 Filed Feb 25, 2019 21:39 UTC Exercise / conversionCommon Stock 3,429 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-008241 · form4.xml · nonDerivative · entry 1

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,178

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:09 UTC Exercise / conversionRestricted Stock Units · Derivative 2,885 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008223 · form4.xml · derivative · entry 4

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,608

Underlying: Common Stock · 2,885 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F3 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F3 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:09 UTC Tax withholdingCommon Stock 1,032 $50.03 $51,630.96
Disclosure

SEC source: 0001127602-19-008223 · form4.xml · nonDerivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,420

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:09 UTC Exercise / conversionCommon Stock 2,885 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-008223 · form4.xml · nonDerivative · entry 1

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,452

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
GrantPerformance-Based Stock Options · Derivative 71,174 $0.00 Strike: $50.03 $0.00
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · derivative · entry 6

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,374

Underlying: Common Stock · 71,174 shares

Expires 2029-02-21

F6 · derivative.exercise_date: The options are subject to vesting conditions based on the achievement of certain cost saving targets. The options generally become exercisable one year following achievement of the relevant vesting condition.

F7 · derivative.expiration_date: To the extent that the relevant vesting condition discussed in footnote (6) has not been met by December 31, 2020, any unvested options will be forfeited.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
GrantPerformance Stock Unit · Derivative 20,870 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · derivative · entry 5

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,400

Underlying: Common Stock · 20,870 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock.

F5 · derivative.exercise_date: 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, 2022) can range from 0% to 150% of the number presented above.

F5 · derivative.expiration_date: 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, 2022) can range from 0% to 150% of the number presented above.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
GrantRestricted Stock Units · Derivative 16,550 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · derivative · entry 4

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,383

Underlying: Common Stock · 16,550 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock.

F4 · derivative.exercise_date: 1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.

F4 · derivative.expiration_date: 1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 6,346 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · derivative · entry 3

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,833

Underlying: Common Stock · 6,346 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
Tax withholdingCommon Stock 3,422 $50.03 $171,202.66
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · nonDerivative · entry 2

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,554

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:14 UTC
Smith Michael SSee Remarks
Exercise / conversionCommon Stock 6,346 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-008227 · form4.xml · nonDerivative · entry 1

Smith Michael S · CIK 0001574979 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,976

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
GrantPerformance-Based Stock Options · Derivative 71,174 $0.00 Strike: $50.03 $0.00
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · derivative · entry 6

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,374

Underlying: Common Stock · 71,174 shares

Expires 2029-02-21

F6 · derivative.exercise_date: The options are subject to vesting conditions based on the achievement of certain cost saving targets. The options generally become exercisable one year following achievement of the relevant vesting condition.

F7 · derivative.expiration_date: To the extent that the relevant vesting condition discussed in footnote (6) has not been met by December 31, 2020, any unvested options will be forfeited.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
GrantPerformance Stock Unit · Derivative 20,416 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · derivative · entry 5

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,281

Underlying: Common Stock · 20,416 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock.

F5 · derivative.exercise_date: 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, 2022) can range from 0% to 150% of the number presented above.

F5 · derivative.expiration_date: 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, 2022) can range from 0% to 150% of the number presented above.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
GrantRestricted Stock Units · Derivative 16,190 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · derivative · entry 4

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,496

Underlying: Common Stock · 16,190 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock.

F4 · derivative.exercise_date: 1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.

F4 · derivative.expiration_date: 1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 6,494 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · derivative · entry 3

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,306

Underlying: Common Stock · 6,494 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
Tax withholdingCommon Stock 3,028 $50.03 $151,490.84
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · nonDerivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,281

Read SEC document
February 21, 2019 Filed Feb 26, 2019 02:12 UTC
Nelson Charles PSee Remarks
Exercise / conversionCommon Stock 6,494 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-008225 · form4.xml · nonDerivative · entry 1

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,309

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
February 13, 2019 Filed Feb 13, 2019 22:39 UTC PurchaseCommon Stock 1,500 $49.45 $74,175.00
Disclosure

SEC source: 0001127602-19-005728 · form4.xml · nonDerivative · entry 1

TRIPODI JOSEPH V · CIK 0001269275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Read SEC document
December 31, 2018 Filed Jan 2, 2019 17:51 UTC
Ferrara NancySee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 4.983 $40.14 $200.02
Disclosure

SEC source: 0001127602-19-000389 · form4.xml · derivative · entry 2

Ferrara Nancy · CIK 0001685164 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,053.546

Underlying: Common Stock · 4.983 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Includes dividend of 1.781 shares.

Read SEC document
December 31, 2018 Filed Jan 2, 2019 22:47 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 21.3 $40.14 $854.98
Disclosure

SEC source: 0001127602-19-000386 · form4.xml · derivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,203.258

Underlying: Common Stock · 21.3 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Includes dividend of 2.064 shares.

Read SEC document
December 31, 2018 Filed Jan 2, 2019 22:42 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 11.418 $40.14 $458.32
Disclosure

SEC source: 0001127602-19-000380 · form4.xml · derivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,234.833

Underlying: Common Stock · 11.418 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Includes dividend of 0.307 shares.

Read SEC document
December 31, 2018 Filed Jan 2, 2019 22:39 UTC
Nelson Charles PSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 8.719 $40.14 $349.98
Disclosure

SEC source: 0001127602-19-000375 · form4.xml · derivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,860.434

Underlying: Common Stock · 8.719 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Includes dividend of 0.466 shares.

Read SEC document
December 31, 2018 Filed Jan 2, 2019 22:36 UTC
Walsh Patricia JSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.851 $40.14 $275.00
Disclosure

SEC source: 0001127602-19-000368 · form4.xml · derivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,215.349

Underlying: Common Stock · 6.851 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Includes dividend of 0.304 shares.

Read SEC document
December 31, 2018 Filed Jan 2, 2019 22:33 UTC GrantDeferred Fee Plan Issuer Stock Units · Derivative 270.927 $40.14 $10,875.01
Disclosure

SEC source: 0001127602-19-000362 · form4.xml · derivative · entry 2

GILLIS RUTH ANN M · CIK 0001185158 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,792.022

Underlying: Common Stock · 270.927 shares

Expires not disclosed

F2 · derivative.exercise_price: 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 or on an earlier in-service date that the reporting person elected. The reporting person may reallocate investments in these units to alternative investments in the future.

F2 · derivative.exercise_date: 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 or on an earlier in-service date that the reporting person elected. The reporting person may reallocate investments in these units to alternative investments in the future.

F2 · derivative.expiration_date: 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 or on an earlier in-service date that the reporting person elected. The reporting person may reallocate investments in these units to alternative investments in the future.

F3 · balance_after: Includes dividend of 0.385 shares.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 17:35 UTC
Ferrara NancySee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 4.845 $41.28 $200.00
Disclosure

SEC source: 0001127602-18-036639 · form4.xml · derivative · entry 2

Ferrara Nancy · CIK 0001685164 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,046.782

Underlying: Common Stock · 4.845 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 22:53 UTC
Walsh Patricia JSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.662 $41.28 $275.01
Disclosure

SEC source: 0001127602-18-036650 · form4.xml · derivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,208.194

Underlying: Common Stock · 6.662 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 22:43 UTC
Nelson Charles PSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 8.479 $41.28 $350.01
Disclosure

SEC source: 0001127602-18-036646 · form4.xml · derivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,851.249

Underlying: Common Stock · 8.479 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 22:32 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 20.712 $41.28 $854.99
Disclosure

SEC source: 0001127602-18-036635 · form4.xml · derivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,179.894

Underlying: Common Stock · 20.712 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 22:41 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 11.103 $41.28 $458.33
Disclosure

SEC source: 0001127602-18-036644 · form4.xml · derivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,223.108

Underlying: Common Stock · 11.103 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 16:44 UTC
Ferrara NancySee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 4.449 $44.95 $199.98
Disclosure

SEC source: 0001127602-18-035149 · form4.xml · derivative · entry 2

Ferrara Nancy · CIK 0001685164 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,041.937

Underlying: Common Stock · 4.449 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 21:55 UTC
Walsh Patricia JSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.118 $44.95 $275.00
Disclosure

SEC source: 0001127602-18-035176 · form4.xml · derivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201.532

Underlying: Common Stock · 6.118 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 21:52 UTC
Nelson Charles PSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 7.786 $44.95 $349.98
Disclosure

SEC source: 0001127602-18-035169 · form4.xml · derivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,842.77

Underlying: Common Stock · 7.786 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 21:48 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 10.196 $44.95 $458.31
Disclosure

SEC source: 0001127602-18-035159 · form4.xml · derivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,212.005

Underlying: Common Stock · 10.196 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 21:42 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 19.021 $44.95 $854.99
Disclosure

SEC source: 0001127602-18-035143 · form4.xml · derivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,159.182

Underlying: Common Stock · 19.021 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 15, 2018 Filed Nov 16, 2018 19:16 UTC
Ferrara NancySee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.702 $45.36 $304.00
Disclosure

SEC source: 0001127602-18-033511 · form4.xml · derivative · entry 2

Ferrara Nancy · CIK 0001685164 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,037.488

Underlying: Common Stock · 6.702 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 15, 2018 Filed Nov 17, 2018 00:23 UTC
Nelson Charles PSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 7.716 $45.36 $350.00
Disclosure

SEC source: 0001127602-18-033522 · form4.xml · derivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,834.984

Underlying: Common Stock · 7.716 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 15, 2018 Filed Nov 17, 2018 00:27 UTC
Walsh Patricia JSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.063 $45.36 $275.02
Disclosure

SEC source: 0001127602-18-033529 · form4.xml · derivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195.414

Underlying: Common Stock · 6.063 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 15, 2018 Filed Nov 17, 2018 00:20 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 10.105 $45.36 $458.36
Disclosure

SEC source: 0001127602-18-033516 · form4.xml · derivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201.809

Underlying: Common Stock · 10.105 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 15, 2018 Filed Nov 17, 2018 00:13 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 18.849 $45.36 $854.99
Disclosure

SEC source: 0001127602-18-033508 · form4.xml · derivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,140.161

Underlying: Common Stock · 18.849 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
November 10, 2018 Filed Nov 13, 2018 16:33 UTC Exercise / conversionRestricted Stock Units · Derivative 16,226 $0.00 $0.00
Disclosure

SEC source: 0001127602-18-032884 · form4.xml · derivative · entry 3

Parent Margaret M. · CIK 0001687036 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,085

Underlying: Common Stock · 16,226 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
November 10, 2018 Filed Nov 13, 2018 16:33 UTC Tax withholdingCommon Stock 8,636 $44.55 $384,733.80
Disclosure

SEC source: 0001127602-18-032884 · form4.xml · nonDerivative · entry 2

Parent Margaret M. · CIK 0001687036 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,644

Read SEC document
November 10, 2018 Filed Nov 13, 2018 16:33 UTC Exercise / conversionCommon Stock 16,226 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-18-032884 · form4.xml · nonDerivative · entry 1

Parent Margaret M. · CIK 0001687036 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,280

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
October 31, 2018 Filed Nov 1, 2018 21:26 UTC
Nelson Charles PSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 7.998 $43.76 $349.99
Disclosure

SEC source: 0001127602-18-031659 · form4.xml · derivative · entry 2

Nelson Charles P · CIK 0001641449 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,827.268

Underlying: Common Stock · 7.998 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
October 31, 2018 Filed Nov 1, 2018 17:14 UTC
Ferrara NancySee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 9.14 $43.76 $399.97
Disclosure

SEC source: 0001127602-18-031646 · form4.xml · derivative · entry 2

Ferrara Nancy · CIK 0001685164 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,030.786

Underlying: Common Stock · 9.14 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
October 31, 2018 Filed Nov 1, 2018 21:23 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 10.474 $43.76 $458.34
Disclosure

SEC source: 0001127602-18-031654 · form4.xml · derivative · entry 2

Johnson Carolyn M · CIK 0001361819 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,191.704

Underlying: Common Stock · 10.474 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
October 31, 2018 Filed Nov 1, 2018 21:11 UTC
Walsh Patricia JSee Remarks
GrantDeferred Savings Plan Issuer Stock Units · Derivative 6.284 $43.76 $274.99
Disclosure

SEC source: 0001127602-18-031643 · form4.xml · derivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,189.351

Underlying: Common Stock · 6.284 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
October 31, 2018 Filed Nov 1, 2018 21:05 UTC GrantDeferred Savings Plan Issuer Stock Units · Derivative 19.538 $43.76 $854.98
Disclosure

SEC source: 0001127602-18-031638 · form4.xml · derivative · entry 2

Ragavan Chetlur S · CIK 0001596066 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,121.312

Underlying: Common Stock · 19.538 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
October 26, 2018 Filed Oct 29, 2018 20:25 UTC
Walsh Patricia JSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 8,247 $0.00 $0.00
Disclosure

SEC source: 0001127602-18-031205 · form4.xml · derivative · entry 3

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,500

Underlying: Common Stock · 8,247 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.exercise_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

F2 · derivative.expiration_date: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Read SEC document
October 26, 2018 Filed Oct 29, 2018 20:25 UTC
Walsh Patricia JSee Remarks
Tax withholdingCommon Stock 4,390 $41.84 $183,677.60
Disclosure

SEC source: 0001127602-18-031205 · form4.xml · nonDerivative · entry 2

Walsh Patricia J · CIK 0001448864 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,140

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.