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Filing Details

Accession Number:: 0001127602-20-007629
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-02-25 16:28:53
Reporting Period:: 2020-02-21

Accepted Time:: 2020-02-25 16:28:53
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1535929	Voya Financial Inc.	VOYA	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1236604	Jr O Rodney Martin	230 Park Avenue New York NY 10169	Chairman And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-02-21	198,373	$0.00	357,746	No	4	M	Direct
Common Stock	Disposition	2020-02-21	105,044	$63.19	252,702	No	4	F	Direct
Common Stock	Disposition	2020-02-24	13,019	$59.63	239,683	No	4	S	Direct
Common Stock	Disposition	2020-02-24	4,575	$60.52	235,108	No	4	S	Direct
Common Stock	Disposition	2020-02-24	2,651	$61.59	232,457	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2020-02-21	65,721	$0.00	65,721	$0.00
Common Stock	Performance Stock Unit	Disposition	2020-02-21	88,435	$0.00	132,652	$1.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
124,612			No	4	M	Direct
247,747			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	5,368	Indirect	By 401(k) Plan

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Deferred Savings Plan Issuer Stock Units	$0.00			7,678	7,678	Direct
Common Stock	Performance-Based Stock Options	$0.00			158,900	158,900	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	7,678	7,678	Direct
	158,900	158,900	Direct

Footnotes

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.
As previously disclosed on the Company's Form 8-K dated September 24, 2019, the sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 3, 2019.
This transaction was executed in multiple trades at prices ranging from $59.1300 to $60.1150. 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.
This transaction was executed in multiple trades at prices ranging from $60.1400 to $61.1000. 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.
This transaction was executed in multiple trades at prices ranging from $61.1900 to $61.9200. 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.
The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
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.
The options vest based on the conditions set forth in their respective agreements.