Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NYLI CBRE Global Infrastructure Megatrends Term FundMEGI · Entity 5158 | Chairman & Interim CEO | October 15, 2022 | October 18, 2022 |
| NYLI MacKay DefinedTerm Muni Opportunities FundMMD · Entity 8991 | Chairman & Interim CEO | October 15, 2022 | October 18, 2022 |
| Voya Financial, Inc.VOYA · Entity 3571 | See Remarks | March 06, 2018 | March 09, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NYLI CBRE Global Infrastructure Megatrends Term Fund
Report date October 15, 2022 · Filed October 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2022-10-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
NYLI MacKay DefinedTerm Muni Opportunities Fund
Report date October 15, 2022 · Filed October 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2022-10-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Voya Financial, Inc.
Report date March 06, 2018 · Filed March 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 34,756 |
Ending reported balance
After 2018-03-07 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2018-03-06 · Exercise / conversion · Acquired 23,718 · Balance 34,546 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. Row 2 · 2018-03-06 · Tax withholding · Disposed 12,625 · Balance 21,921 Row 3 · 2018-03-07 · Exercise / conversion · Acquired 27,441 · Balance 49,362 F2: 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. Row 4 · 2018-03-07 · Tax withholding · Disposed 14,606 · Balance 34,756 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 56,759 |
Reported balance
After 2018-03-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-03-06 · Exercise / conversion · Disposed 9,119 · Balance 56,759 F3: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 29,318 |
Reported balance
After 2018-03-07 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-03-07 · Exercise / conversion · Disposed 27,441 · Balance 29,318 F3: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| Performance Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $1.31 | Direct | 76,580 |
Reported balance
After 2018-03-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-03-06 · Exercise / conversion · Disposed 11,145 · Balance 76,580 F4: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |
Filing footnotes · ownership attribution and instrument terms
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: 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.
F3: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F4: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Sirius International Insurance Group, Ltd.
Report date February 26, 2021 · Filed March 02, 2021
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-02-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-02-26 · Disposition to issuer · Disposed 2,805 · Balance 6,923 F1: Represents shares of common stock of the issuer ("Sirius Shares") disposed of in connection with the merger of the issuer with Third Point Reinsurance Ltd. ("TPRE") (the "Merger"), which closed on February 26, 2021 (the "Effective Time"), and exchanged for a combination of common shares, par value $0.10 per share, of TPRE (the "TPRE Shares") and contingent value right ("CVR") consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share. Row 2 · 2021-02-26 · Disposition to issuer · Disposed 6,923 · Balance 0 F2: Represents restricted shares that immediately vested following the closing of the Merger. These shares were disposed of in connection with the Merger and exchanged for a combination of TPRE Shares and CVR consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock of the issuer ("Sirius Shares") disposed of in connection with the merger of the issuer with Third Point Reinsurance Ltd. ("TPRE") (the "Merger"), which closed on February 26, 2021 (the "Effective Time"), and exchanged for a combination of common shares, par value $0.10 per share, of TPRE (the "TPRE Shares") and contingent value right ("CVR") consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share.
F2: Represents restricted shares that immediately vested following the closing of the Merger. These shares were disposed of in connection with the Merger and exchanged for a combination of TPRE Shares and CVR consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 26, 2021 Filed Mar 2, 2021 20:16 UTC | Sirius International Insurance Group, Ltd. SG · Entity 141984 | Disposition to issuerCommon Shares | 6,923 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-21-007006 · form4.xml · nonDerivative · entry 2 Karaoglan Alain M · CIK 0001574919 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Represents restricted shares that immediately vested following the closing of the Merger. These shares were disposed of in connection with the Merger and exchanged for a combination of TPRE Shares and CVR consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 20:16 UTC | Sirius International Insurance Group, Ltd. SG · Entity 141984 | Disposition to issuerCommon Shares | 2,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-21-007006 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,923 F1 · price: Represents shares of common stock of the issuer ("Sirius Shares") disposed of in connection with the merger of the issuer with Third Point Reinsurance Ltd. ("TPRE") (the "Merger"), which closed on February 26, 2021 (the "Effective Time"), and exchanged for a combination of common shares, par value $0.10 per share, of TPRE (the "TPRE Shares") and contingent value right ("CVR") consideration comprising (1) 0.743 of a TPRE Share and (2) one contractual CVR, which represents the right to receive a contingent cash payment, which, taken together with the fraction of the TPRE Share received, guarantee that on the second anniversary of the Effective Time, the electing shareholder will have received equity and cash equal to at least $13.73 per Sirius Share. Read SEC document |
| May 23, 2019 Filed May 28, 2019 16:05 UTC | Sirius International Insurance Group, Ltd. SG · Entity 141984 | GrantCommon Shares | 6,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-032027 · a4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,728 Read SEC document |
| March 07, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 27,441 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · derivative · entry 7 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,318 Underlying: Common Stock · 27,441 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 |
| March 07, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 14,606 | $51.69 | $754,984.14 |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · nonDerivative · entry 4 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,756 Read SEC document |
| March 07, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 27,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · nonDerivative · entry 3 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,362 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 · 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 |
| March 06, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionPerformance Stock Unit · Derivative | 11,145 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · derivative · entry 6 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,580 Underlying: Common Stock · 14,599 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. F4 · derivative.exercise_price: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. F4 · derivative.exercise_date: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. F4 · derivative.expiration_date: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 9,119 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · derivative · entry 5 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,759 Underlying: Common Stock · 9,119 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 |
| March 06, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 12,625 | $52.03 | $656,878.75 |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · nonDerivative · entry 2 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,921 Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 01:29 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 23,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-010836 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,546 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 and performance stock units that were awarded as compensation. Read SEC document |
| February 22, 2018 Filed Feb 24, 2018 02:03 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 8,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-008232 · form4.xml · derivative · entry 3 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,878 Underlying: Common Stock · 8,763 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 22, 2018 Filed Feb 24, 2018 02:03 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 4,686 | $50.71 | $237,627.06 |
DisclosureSEC source: 0001127602-18-008232 · form4.xml · nonDerivative · entry 2 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,828 Read SEC document |
| February 22, 2018 Filed Feb 24, 2018 02:03 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 8,763 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-008232 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,514 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 02, 2017 Filed Oct 3, 2017 20:21 UTC | Voya Financial, Inc. VOYA · Entity 3571 | PurchaseCommon Stock | 114 | $37.90 | $4,320.09 |
DisclosureSEC source: 0001127602-17-028929 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,751 F1 · shares: These shares were purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP"). Read SEC document |
| May 04, 2017 Filed May 5, 2017 21:46 UTC | Voya Financial, Inc. VOYA · Entity 3571 | SaleCommon Stock | 28,899 | $37.50 | $1,083,712.50 |
DisclosureSEC source: 0001127602-17-017131 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,637 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2017. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 21:31 UTC | Voya Financial, Inc. VOYA · Entity 3571 | PurchaseCommon Stock | 824 | $36.17 | $29,801.20 |
DisclosureSEC source: 0001127602-17-013605 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,643 F1 · shares: These shares were purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP"). Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 21:10 UTC Amendment | Voya Financial, Inc. VOYA · Entity 3571 | PurchaseCommon Stock | 717 | $36.17 | $25,931.38 |
DisclosureSEC source: 0001127602-17-014340 · form4a.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,536 F1 · shares: Corrects an error in the number of shares acquired that was previously reported. F2 · shares: These shares were purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP"). Read SEC document |
| March 28, 2017 Filed Mar 28, 2017 21:51 UTC | Voya Financial, Inc. VOYA · Entity 3571 | SaleCommon Stock | 5,405 | $37.26 | $201,410.30 |
DisclosureSEC source: 0001127602-17-013071 · form4.xml · nonDerivative · entry 3 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,819 F2 · shares: The shares being sold are vested equity awards granted in 2013 with respect to the 2012 performance year. Read SEC document |
| March 27, 2017 Filed Mar 28, 2017 21:51 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 12,236 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-013071 · form4.xml · derivative · entry 4 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,641 Underlying: Common Stock · 12,236 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 |
| March 27, 2017 Filed Mar 28, 2017 21:51 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 6,831 | $36.98 | $252,610.38 |
DisclosureSEC source: 0001127602-17-013071 · form4.xml · nonDerivative · entry 2 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,224 Read SEC document |
| March 27, 2017 Filed Mar 28, 2017 21:51 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 12,236 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-17-013071 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,055 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 |
| March 08, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | SaleCommon Stock | 12,122 | $41.37 | $501,466.53 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 6 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,819 F4 · price: This transaction was executed in multiple trades at prices ranging from $41.3500 to $41.4500. 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. Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 27,441 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · derivative · entry 9 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,877 Underlying: Common Stock · 27,441 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. F5 · 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. F5 · 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. F5 · 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 |
| March 07, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 15,319 | $41.09 | $629,457.71 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 5 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,941 Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 27,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 4 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,260 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 · 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 |
| March 07, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | SaleCommon Stock | 9,246 | $41.11 | $380,126.18 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 3 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,819 F2 · price: This transaction was executed in multiple trades at prices ranging from $41.0686 to $41.1300. 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. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionPerformance Stock Unit · Derivative | 11,144 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · derivative · entry 8 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,725 Underlying: Common Stock · 11,812 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. F6 · derivative.exercise_price: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. F6 · derivative.exercise_date: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. F6 · derivative.expiration_date: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionRestricted Stock Units · Derivative | 9,118 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · derivative · entry 7 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,318 Underlying: Common Stock · 9,118 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. F5 · 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. F5 · 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. F5 · 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 |
| March 06, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Tax withholdingCommon Stock | 11,684 | $41.35 | $483,133.40 |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 2 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,065 Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:15 UTC | Voya Financial, Inc. VOYA · Entity 3571 | Exercise / conversionCommon Stock | 20,930 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-17-010959 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,749 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 and performance stock units that were awarded as compensation. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 23:34 UTC | Voya Financial, Inc. VOYA · Entity 3571 | GrantPerformance Stock Unit · Derivative | 33,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008301 · form4.xml · derivative · entry 3 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,869 Underlying: Common Stock · 33,352 shares Expires not disclosed F1 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock. F3 · 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 22, 2020) can range from 0% to 150% of the number presented above. F3 · 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 22, 2020) can range from 0% to 150% of the number presented above. F3 · derivative.underlying_shares: 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 22, 2020) can range from 0% to 150% of the number presented above. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 23:34 UTC | Voya Financial, Inc. VOYA · Entity 3571 | GrantRestricted Stock Units · Derivative | 26,291 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008301 · form4.xml · derivative · entry 2 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,436 Underlying: Common Stock · 26,291 shares Expires not disclosed F1 · derivative.exercise_price: Each stock unit represents a conditional right to receive one share of the company's common stock. F2 · derivative.exercise_date: 1/3 of the restricted stock units will vest on February 22, 2018, 1/3 on February 22, 2019 and 1/3 on February 22, 2020. F2 · derivative.expiration_date: 1/3 of the restricted stock units will vest on February 22, 2018, 1/3 on February 22, 2019 and 1/3 on February 22, 2020. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 22:10 UTC | Voya Financial, Inc. VOYA · Entity 3571 | PurchaseCommon Stock | 820 | $26.89 | $22,053.49 |
DisclosureSEC source: 0001127602-16-064179 · form4.xml · nonDerivative · entry 1 Karaoglan Alain M · CIK 0001574919 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,819 F1 · shares: These shares purchased pursuant to the Voya Financial Employee Stock Purchase Plan ("ESPP") and the decision to participate in the ESPP was made in March 2016. 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.