Nancy Ferrara - 17 Nov 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
Issuer symbol
VOYA
Transactions as of
17 Nov 2021
Net transactions value
-$464,040
Form type
4
Filing time
19 Nov 2021, 15:06:01 UTC
Previous filing
06 Aug 2021
Next filing
11 Feb 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 $538,432 +14,320 +104% $37.60 28,136 17 Nov 2021 Direct F1
transaction VOYA Common Stock Sale $1,002,472 -14,320 -51% $70.00 13,816 17 Nov 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
transaction VOYA Performance-Based Stock Options Options Exercise $0 -14,320 -13% $0.000000 92,654 17 Nov 2021 Common Stock 14,320 $37.60 Direct F1, F2
holding VOYA Restricted Stock Units 8,682 17 Nov 2021 Common Stock 8,682 Direct F3
holding VOYA Performance Stock Unit 16,104 17 Nov 2021 Common Stock 16,104 Direct F3
holding VOYA Deferred Savings Plan Issuer Stock Units 7,242 17 Nov 2021 Common Stock 7,242 Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option exercise and stock sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 20, 2021.
F2 25% of the options were exercisable on March 31, 2018. 75% of the options were exercisable on June 30, 2018.
F3 The stock units will vest based on their respective award agreements.
F4 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.
F5 Includes dividend of 19.341 shares.

Remarks:

Executive Vice President, Operations and Continuous Improvement