Form 4 for VOYA Voya Financial, Inc.
Accepted 2023-02-23 00:00:00 ET · period of report 2023-02-20 · accession 0001127602-23-006894 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-23 | 2023-02-20+ | VOYA | Hurtsellers Christine | See Remarks | F - Tax | $74.25 | -17.8K | 69.8K | -20% | -$1.32M |
| DM | 2023-02-23 | 2023-02-20+ | VOYA | Hurtsellers Christine | See Remarks | M - OptEx | $0.00 | +39.0K | 79.1K | +97% | $0 |
| DM | 2023-02-23 | 2023-02-22+ | VOYA | Hurtsellers Christine | See Remarks | S - Sale+OE | $73.66 | -43.0K | 54.8K | -44% | -$3.17M |
| DM | 2023-02-23 | 2023-02-20+ | VOYA | Hurtsellers Christine | See Remarks | M - OptEx | $0.00 | -39.0K | 22.3K | -64% | $0 |
| DM | 2023-02-23 | 2023-02-22 | VOYA | Hurtsellers Christine | See Remarks | A - Grant | $0.00 | +35.1K | 81.1K | +76% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-22 | F | D | 2,342 | $73.34 | 79,771 | D | — | — | |
| 2 | Common | Common Stock | 2023-02-22 | M | A | 5,427 | $0.00 | 82,113 | D | — | — | (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 and performance stock units that were awarded as compensation. |
| 3 | Common | Common Stock | 2023-02-23 | S | D | 18,026 | $73.69 | 36,745 | D | — | — | (F2) The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 9, 2021. (F3) The transaction was executed in multiple trades at prices ranging from $73.20 to $74.56 to $74.34. 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 security holder of the issuer, full information regarding the shares sold at each separate price. |
| 4 | Common | Common Stock | 2023-02-22 | M | A | 650 | $0.00 | 55,421 | D | — | — | (F4) FICA tax withholding on the grant of restricted stock units. |
| 5 | Common | Common Stock | 2023-02-22 | F | D | 650 | $73.34 | 54,771 | D | — | — | (F4) FICA tax withholding on the grant of restricted stock units. |
| 6 | Common | Common Stock | 2023-02-22 | S | D | 25,000 | $73.64 | 54,771 | D | — | — | (F2) The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 9, 2021. (F3) The transaction was executed in multiple trades at prices ranging from $73.20 to $74.56 to $74.34. 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 security holder of the issuer, full information regarding the shares sold at each separate price. |
| 7 | Common | Common Stock | 2023-02-21 | M | A | 6,404 | $0.00 | 79,437 | D | — | — | (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 and performance stock units that were awarded as compensation. |
| 8 | Common | Common Stock | 2023-02-21 | F | D | 2,751 | $74.44 | 76,686 | D | — | — | |
| 9 | Common | Common Stock | 2023-02-20 | F | D | 2,726 | $74.44 | 73,033 | D | — | — | |
| 10 | Common | Common Stock | 2023-02-20 | M | A | 5,942 | $0.00 | 75,759 | D | — | — | (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 and performance stock units that were awarded as compensation. |
| 11 | Common | Common Stock | 2023-02-20 | F | D | 9,290 | $74.44 | 69,817 | D | — | — | |
| 12 | Common | Common Stock | 2023-02-20 | M | A | 20,597 | $0.00 | 79,107 | D | — | — | (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 and performance stock units that were awarded as compensation. |
| 13 | Derivative | Restricted Stock Units | 2023-02-21 | M | D | 6,404 | $0.00 | 27,727 | D | — · — to — | 6,404 Common Stock | (F6) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| 14 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 650 | $0.00 | 37,468 | D | — · — to — | 650 Common Stock | (F4) FICA tax withholding on the grant of restricted stock units. (F7) The stock units will vest based on their respective award agreements. |
| 15 | Derivative | Restricted Stock Units | 2023-02-22 | A | A | 15,818 | $0.00 | 38,118 | D | — · — to — | 15,818 Common Stock | (F7) The stock units will vest based on their respective award agreements. (F9) 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. |
| 16 | Derivative | Performance Stock Unit | 2023-02-22 | A | A | 19,328 | $0.00 | 81,092 | D | — · — to — | 19,328 Common Stock | (F7) The stock units will vest based on their respective award agreements. (F8) 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. |
| 17 | Derivative | Performance Stock Unit | 2023-02-20 | M | D | 20,597 | $0.00 | 61,764 | D | — · — to — | 20,597 Common Stock | (F5) The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |
| 18 | Derivative | Restricted Stock Units | 2023-02-20 | M | D | 5,942 | $0.00 | 34,131 | D | — · — to — | 5,942 Common Stock | (F6) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| 19 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 5,427 | $0.00 | 22,300 | D | — · — to — | 5,427 Common Stock | (F6) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |