Michael Robert Katz - 03 Nov 2022 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Executive Vice President, Finance
Signature
/s/ Rachel Reid, Attorney-in-Fact
Issuer symbol
VOYA
Transactions as of
03 Nov 2022
Net transactions value
-$97,417
Form type
4
Filing time
04 Nov 2022, 16:05:04 UTC
Previous filing
11 Jul 2022
Next filing
23 Feb 2023
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 $97,417 -1,472 -9.8% $66.18 13,520 03 Nov 2022 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
holding VOYA Performance Stock Unit 31,948 03 Nov 2022 Common Stock 31,948 Direct F2
holding VOYA Restricted Stock Units 16,847 03 Nov 2022 Common Stock 16,847 Direct F3
holding VOYA Deferred Savings Plan Issuer Stock Units 806 03 Nov 2022 Common Stock 806 Direct F4, F5
holding VOYA Performance-Based Stock Options 56,187 03 Nov 2022 Common Stock 56,187 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 The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
F3 The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date.
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 the units to alternative investments in the future.
F5 Includes a dividend of 2.638 shares.
F6 The options vest based on the conditions set forth in their respective agreements.

Remarks:

Executive Vice President, Finance