Michael Robert Katz - 27 Jul 2021 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Executive Vice President, Chief Strategy, Planning and Investor Relations Officer
Signature
/s/ Rachel Reid, Attorney-in-Fact
Issuer symbol
VOYA
Transactions as of
27 Jul 2021
Net transactions value
-$266,258
Form type
4
Filing time
29 Jul 2021, 18:13:26 UTC
Next filing
02 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VOYA Common Stock Options Exercise $0 +9,968 +136% $0.000000 17,280 27 Jul 2021 Direct F1
transaction VOYA Common Stock Tax liability $266,258 -4,229 -24% $62.96 13,051 27 Jul 2021 Direct

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
transaction VOYA Restricted Stock Units Options Exercise $0 -9,968 -45% $0.000000 12,060 27 Jul 2021 Common Stock 9,968 Direct F2
holding VOYA Deferred Savings Plan Issuer Stock Units 794 27 Jul 2021 Common Stock 794 Direct F3, F4
holding VOYA Performance-Based Stock Options 56,187 27 Jul 2021 Common Stock 56,187 Direct F5
holding VOYA Performance Stock Unit 17,771 27 Jul 2021 Common Stock 17,771 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Delivery of shares of the Company's common stock was made to the reporting person without the payment of any consideration in connection with the vesting of the underlying restricted stock units that were awarded as compensation.
F2 The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F3 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 the units to alternative investments in the future.
F4 Includes a dividend of 4.229 shares.
F5 The options vest based on the conditions set forth in their respective agreements.
F6 The stock units will vest based on their respective award agreements.

Remarks:

Executive Vice President, Chief Strategy, Planning and Investor Relations Officer