Michael S. Smith - Dec 6, 2021 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Vice Chairman and Chief Financial Officer | Exhibit List: Exhibit 24 - Power of Attorney
Signature
/s/ Rachel Reid, Attorney-in-Fact
Stock symbol
VOYA
Transactions as of
Dec 6, 2021
Transactions value $
-$67,969
Form type
4
Date filed
12/8/2021, 03:34 PM
Next filing
Mar 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VOYA Common Stock Options Exercise $0 +1.09K +0.61% $0.00 179K Dec 6, 2021 Direct F1, F2
transaction VOYA Common Stock Tax liability -$68K -1.09K -0.61% $62.30 178K Dec 6, 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 Restricted Stock Units Options Exercise $0 -1.09K -2.37% $0.00 45K Dec 6, 2021 Common Stock 1.09K Direct F1, F3
holding VOYA Performance Stock Unit 82.5K Dec 6, 2021 Common Stock 82.5K Direct F4
holding VOYA Performance-Based Stock Options 182K Dec 6, 2021 Common Stock 182K Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 FICA tax withholding on the grant of restricted stock units.
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 and performance 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.
F5 The options vest based on the conditions set forth in their respective agreements.

Remarks:

Vice Chairman and Chief Financial Officer | Exhibit List: Exhibit 24 - Power of Attorney