Martin Rodney O Jr. - 09 Feb 2023 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Chairman and CEO, Director
Signature
/s/ My Chi To, Attorney-in-Fact
Issuer symbol
VOYA
Transactions as of
09 Feb 2023
Net transactions value
-$8,134,398
Form type
4
Filing time
13 Feb 2023, 15:14:34 UTC
Previous filing
02 Mar 2022
Next filing
24 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 $4,423,098 -59,588 -18% $74.23 270,882 09 Feb 2023 Direct F1, F2
transaction VOYA Common Stock Sale $3,711,300 -50,000 -18% $74.23 220,882 09 Feb 2023 Direct F1, F2
holding VOYA Common Stock 6,500 09 Feb 2023 By 401(k) Plan 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 Deferred Savings Plan Issuer Stock Units 7,964 09 Feb 2023 Common Stock 7,964 Direct F4, F5
holding VOYA Performance Stock Unit 275,405 09 Feb 2023 Common Stock 275,405 Direct F6
holding VOYA Performance-Based Stock Options 158,900 09 Feb 2023 Common Stock 158,900 Direct F7
holding VOYA Restricted Stock Units 139,882 09 Feb 2023 Common Stock 139,882 Direct F8
* 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 September 6, 2022.
F2 This transaction was executed in multiple trades at prices ranging from $73.22 to $75.00. 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.
F3 Includes automatic semi-monthly contributions to the reporting person's 401(k).
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 dividends of 101.024 shares.
F6 The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
F7 The options vest based on the conditions set forth in their respective agreements.
F8 The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Remarks:

Executive Chairman | Exhibit List: Exhibit 24 - Power of Attorney