Michael Robert Katz - 20 Feb 2023 Form 4 Insider Report for Voya Financial, Inc. (VOYA)

Role
Executive Vice President, Finance |Exhibit List: Exhibit 24 - Power of Attorney
Signature
/s/ My Chi To, Attorney-in-Fact
Issuer symbol
VOYA
Transactions as of
20 Feb 2023
Net transactions value
-$319,317
Form type
4
Filing time
23 Feb 2023, 19:14:21 UTC
Previous filing
04 Nov 2022
Next filing
05 Jul 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 Options Exercise $0 +3,175 +23% $0.000000 16,695 20 Feb 2023 Direct F1
transaction VOYA Common Stock Tax liability $130,493 -1,753 -11% $74.44 14,942 20 Feb 2023 Direct
transaction VOYA Common Stock Options Exercise $0 +1,369 +9.2% $0.000000 16,311 20 Feb 2023 Direct F1
transaction VOYA Common Stock Tax liability $49,354 -663 -4.1% $74.44 15,648 20 Feb 2023 Direct
transaction VOYA Common Stock Options Exercise $0 +2,558 +16% $0.000000 18,206 21 Feb 2023 Direct F1
transaction VOYA Common Stock Tax liability $82,852 -1,113 -6.1% $74.44 17,093 21 Feb 2023 Direct
transaction VOYA Common Stock Options Exercise $0 +1,775 +10% $0.000000 18,868 22 Feb 2023 Direct F1
transaction VOYA Common Stock Tax liability $56,618 -772 -4.1% $73.34 18,096 22 Feb 2023 Direct

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 Performance Stock Unit Options Exercise $0 -3,175 -9.9% $0.000000 28,773 20 Feb 2023 Common Stock 3,175 Direct F5
transaction VOYA Restricted Stock Units Options Exercise $0 -1,369 -8.1% $0.000000 15,478 20 Feb 2023 Common Stock 1,369 Direct F6
transaction VOYA Restricted Stock Units Options Exercise $0 -2,558 -17% $0.000000 12,920 21 Feb 2023 Common Stock 2,558 Direct F6
transaction VOYA Restricted Stock Units Options Exercise $0 -1,775 -14% $0.000000 11,145 22 Feb 2023 Common Stock 1,775 Direct F6
transaction VOYA Restricted Stock Units Award $0 +7,832 +70% $0.000000 18,977 22 Feb 2023 Common Stock 7,832 Direct F7, F8
transaction VOYA Performance Stock Unit Award $0 +9,570 +33% $0.000000 38,343 22 Feb 2023 Common Stock 9,570 Direct F9, F10
holding VOYA Deferred Savings Plan Issuer Stock Units 809 20 Feb 2023 Common Stock 809 Direct F2, F3
holding VOYA Performance-Based Stock Options 56,187 20 Feb 2023 Common Stock 56,187 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 that were awarded as compensation.
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 the units to alternative investments in the future.
F3 Includes a dividend of 2.584 shares.
F4 The options vest based on the conditions set forth in their respective agreements.
F5 The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
F6 The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F7 Each stock unit represents a conditional right to receive one share of the company's common stock.
F8 1/3 of the restricted stock units will vest on February 20, 2024, 1/3 on February 18, 2025 and 1/3 on February 17, 2026.
F9 The stock units will vest based on their respective award agreements.
F10 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 (February 17, 2026) can range from 0% to 150% of the number presented above.

Remarks:

Executive Vice President, Finance |Exhibit List: Exhibit 24 - Power of Attorney