Form 4 for VOYA Voya Financial, Inc.
Accepted 2023-02-23 00:00:00 ET · period of report 2023-02-20 · accession 0001127602-23-006949 · 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 | Keshavan Santhosh | See Remarks | M - OptEx | $0.00 | +8,784 | 20.0K | +78% | $0 |
| DM | 2023-02-23 | 2023-02-22+ | VOYA | Keshavan Santhosh | See Remarks | S - Sale+OE | $73.92 | -4,712 | 18.3K | -20% | -$348.3K |
| DM | 2023-02-23 | 2023-02-20+ | VOYA | Keshavan Santhosh | See Remarks | F - Tax | $74.17 | -4,072 | 19.4K | -17% | -$302.0K |
| DM | 2023-02-23 | 2023-02-20+ | VOYA | Keshavan Santhosh | See Remarks | M - OptEx | $0.00 | -8,784 | 14.0K | -39% | $0 |
| DM | 2023-02-23 | 2023-02-22 | VOYA | Keshavan Santhosh | See Remarks | A - Grant | $0.00 | +24.5K | 43.5K | +130% | $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 | 2023-02-20 | M | A | 1,239 | $0.00 | 19,945 | D | — | — | (F1) Delivery of shares of the company's common stock was made to the reporting person without the payment of ay consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation. |
| 2 | Common | Common Stock | 2023-02-23 | S | D | 1,148 | $73.47 | 17,164 | 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 August 30, 2022. |
| 3 | Common | Common Stock | 2023-02-21 | M | A | 2,531 | $0.00 | 21,901 | D | — | — | (F1) Delivery of shares of the company's common stock was made to the reporting person without the payment of ay consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation. |
| 4 | Common | Common Stock | 2023-02-21 | F | D | 1,173 | $74.44 | 20,728 | D | — | — | |
| 5 | Common | Common Stock | 2023-02-22 | M | A | 2,140 | $0.00 | 22,868 | D | — | — | (F1) Delivery of shares of the company's common stock was made to the reporting person without the payment of ay consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation. |
| 6 | Common | Common Stock | 2023-02-22 | F | D | 992 | $73.34 | 21,876 | D | — | — | |
| 7 | Common | Common Stock | 2023-02-22 | S | D | 3,564 | $74.06 | 18,312 | 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 August 30, 2022. (F3) This transaction was executed in multiple trades at prices ranging from $73.65 to $74.48. 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 seperate price. |
| 8 | Common | Common Stock | 2023-02-20 | F | D | 1,332 | $74.44 | 18,706 | D | — | — | |
| 9 | Common | Common Stock | 2023-02-20 | M | A | 2,874 | $0.00 | 20,038 | D | — | — | (F1) Delivery of shares of the company's common stock was made to the reporting person without the payment of ay consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation. |
| 10 | Common | Common Stock | 2023-02-20 | F | D | 575 | $74.44 | 19,370 | D | — | — | |
| 11 | Derivative | Restricted Stock Units | 2023-02-20 | M | D | 1,239 | $0.00 | 16,521 | D | — · — to — | 1,239 Common Stock | (F5) The restricted stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |
| 12 | Derivative | Performance Stock Unit | 2023-02-20 | M | D | 2,874 | $0.00 | 29,985 | D | — · — to — | 2,874 Common Stock | (F4) The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors. |
| 13 | Derivative | Restricted Stock Units | 2023-02-22 | A | A | 11,044 | $0.00 | 22,894 | D | — · — to — | 11,044 Common Stock | (F6) The stock units will vest based on their respective award agreements. (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. |
| 14 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 2,140 | $0.00 | 11,850 | D | — · — to — | 2,140 Common Stock | (F5) The restricted stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |
| 15 | Derivative | Performance Stock Unit | 2023-02-22 | A | A | 13,495 | $0.00 | 43,480 | D | — · — to — | 13,495 Common Stock | (F6) The stock units will vest based on their respective award agreements. (F7) 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. |
| 16 | Derivative | Restricted Stock Units | 2023-02-21 | M | D | 2,531 | $0.00 | 13,990 | D | — · — to — | 2,531 Common Stock | (F5) The restricted stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |