Michael S. Smith - Oct 21, 2022 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Vice Chairman and Chief Financial Officer
Signature
/s/ Rachel Reid, Attorney-in-Fact
Stock symbol
VOYA
Transactions as of
Oct 21, 2022
Transactions value $
-$524,609
Form type
4
Date filed
10/25/2022, 04:07 PM
Previous filing
Jul 11, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VOYA Common Stock Sale -$300K -4.79K -2.34% $62.56 200K Oct 21, 2022 Direct F1, F2
transaction VOYA Common Stock Sale -$225K -3.55K -1.77% $63.33 197K Oct 21, 2022 Direct F1, F3

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 48.8K Oct 21, 2022 Common Stock 48.8K Direct F4
holding VOYA Performance Stock Unit 98.8K Oct 21, 2022 Common Stock 98.8K Direct F5
holding VOYA Performance-Based Stock Options 182K Oct 21, 2022 Common Stock 182K Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022.
F2 This transaction was executed in multiple trades at prices ranging from $62.17 to $63.158. 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.
F3 This transaction was executed in multiple trades at prices ranging from $63.175 to $63.50. 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 company, or a security holder of the company, full information regarding the shares sold at each separate price.
F4 The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F5 The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
F6 The options vest based on the conditions set forth in their respective agreements.

Remarks:

Vice Chairman and Chief Financial Officer