Martin Rodney O Jr. - 17 Nov 2021 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Chairman and CEO, Director
Signature
/s/ Rachel Reid, Attorney-in-Fact
Issuer symbol
VOYA
Transactions as of
17 Nov 2021
Net transactions value
-$1,355,538
Form type
4
Filing time
19 Nov 2021, 15:08:53 UTC
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 Sale $1,355,538 -19,364 -7.6% $70.00 236,729 17 Nov 2021 Direct F1
holding VOYA Common Stock 6,008 17 Nov 2021 By 401(k) Plan

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 Deferred Savings Plan Issuer Stock Units 7,839 17 Nov 2021 Common Stock 7,839 Direct F2, F3
holding VOYA Performance Stock Unit 278,278 17 Nov 2021 Common Stock 278,278 Direct F4, F5
holding VOYA Performance-Based Stock Options 158,900 17 Nov 2021 Common Stock 158,900 Direct F6
holding VOYA Restricted Stock Units 141,679 17 Nov 2021 Common Stock 141,679 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 9, 2021.
F2 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.
F3 Includes dividends of 62.577 shares.
F4 The stock units will vest based on their respective award agreements.
F5 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.
F6 The options vest based on the conditions set forth in their respective agreements.

Remarks:

Exhibit List: Exhibit 24 - Power of Attorney