Nancy Ferrara - May 12, 2021 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Executive Vice President, Operations and Continuous Improvement
Signature
/s/ Rachel Reid, Attorney-in-Fact
Stock symbol
VOYA
Transactions as of
May 12, 2021
Transactions value $
-$199,443
Form type
4
Date filed
5/13/2021, 04:13 PM
Next filing
May 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VOYA Common Stock Sale -$199K -3K -8.62% $66.48 31.8K May 12, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding VOYA Restricted Stock Units 8.68K May 12, 2021 Common Stock 8.68K Direct F2
holding VOYA Performance Stock Unit 16.1K May 12, 2021 Common Stock 16.1K Direct F3
holding VOYA Performance-Based Stock Options 107K May 12, 2021 Common Stock 107K Direct F2, F4
holding VOYA Deferred Savings Plan Issuer Stock Units 7.2K May 12, 2021 Common Stock 7.2K Direct F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $65.76 to $67.55. 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 issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
F2 The options vest based on the conditions set forth in their respective agreements.
F3 The stock units will vest based on their respective award agreements.
F4 The number of shares of common stock that will be delivered for each performance stock unit depends on the achievement of certain performance factors. Depending on actual performance, the number of shares of common stock delivered upon the vesting date can range from 0% to 150% of the number presented above.
F5 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.
F6 Includes dividend of 18.925 shares.

Remarks:

Executive Vice President, Operations and Continuous Improvement