Form 4 for VOYA Voya Financial, Inc.
Accepted 2023-02-24 00:00:00 ET · period of report 2023-02-20 · accession 0001127602-23-006955 · 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 | 2023-02-24 | 2023-02-22+ | VOYA | Ogle Trevor | See Remarks | S - Sale+OE | $73.93 | -6,204 | 1,470 | -81% | -$458.7K |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | Ogle Trevor | See Remarks | F - Tax | $74.21 | -3,560 | 5,068 | -41% | -$264.2K |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | Ogle Trevor | See Remarks | M - OptEx | $0.00 | +9,764 | 7,107 | New | $0 |
| DM | 2023-02-24 | 2023-02-22 | VOYA | Ogle Trevor | See Remarks | A - Grant | $0.00 | +22.1K | 21.1K | New | $0 |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | Ogle Trevor | See Remarks | M - OptEx | $0.00 | -9,764 | 28.4K | -26% | $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 | 2023-02-23 | S | D | 1,303 | $73.47 | 167 | 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 September 9, 2022. (F4) The reporting person's Form 4, filed 10/31/2022, erroneously reported that 5,206 of the reporting person's vested shares were withheld to pay taxes. The number of shares actually withheld was 5,039. As a result, the reporting person owned 4,071 shares as of 10/28/2022. Additionally, on November 3, 2022, the reporting person sold 3,904 of the shares related to the Form 4 filed on 10/31/2022. See the reporting person's Form 4, filed 11/04/2022. The figure in Column 5 reflects the 167 held by the reporting person as of 11/03/2022. |
| 2 | Common | Common Stock | 2023-02-22 | F | D | 736 | $73.34 | 6,371 | D | — | — | |
| 3 | Common | Common Stock | 2023-02-20 | M | A | 3,678 | $0.00 | 3,845 | D | — | — | (F1) Delivery of the 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. |
| 4 | Common | Common Stock | 2023-02-20 | F | D | 1,327 | $74.44 | 2,518 | D | — | — | |
| 5 | Common | Common Stock | 2023-02-20 | M | A | 1,585 | $0.00 | 4,103 | D | — | — | (F1) Delivery of the 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. |
| 6 | Common | Common Stock | 2023-02-20 | F | D | 609 | $74.44 | 3,494 | D | — | — | |
| 7 | Common | Common Stock | 2023-02-21 | M | A | 2,462 | $0.00 | 5,956 | D | — | — | (F1) Delivery of the 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. |
| 8 | Common | Common Stock | 2023-02-21 | F | D | 888 | $74.44 | 5,068 | D | — | — | |
| 9 | Common | Common Stock | 2023-02-22 | S | D | 4,901 | $74.05 | 1,470 | 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 September 9, 2022. (F3) This transaction was executed in multiple trades at prices ranging from $73.65 to $74.45. 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. |
| 10 | Common | Common Stock | 2023-02-22 | M | A | 2,039 | $0.00 | 7,107 | D | — | — | (F1) Delivery of the 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. |
| 11 | Derivative | Performance Stock Unit | 2023-02-22 | A | A | 12,145 | $0.00 | 40,499 | D | — · — to — | 12,145 Common Stock | (F8) The stock units will vest based on their respective award agreements. (F9) The number of common stock that will be delivered for each performance 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. |
| 12 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 2,039 | $0.00 | 11,208 | D | — · — to — | 2,039 Common Stock | (F7) The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date. |
| 13 | Derivative | Restricted Stock Units | 2023-02-21 | M | D | 2,462 | $0.00 | 13,247 | D | — · — to — | 2,462 Common Stock | (F7) The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date. |
| 14 | Derivative | Restricted Stock Units | 2023-02-20 | M | D | 1,585 | $0.00 | 15,709 | D | — · — to — | 1,585 Common Stock | (F7) The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date. |
| 15 | Derivative | Performance Stock Unit | 2023-02-20 | M | D | 3,678 | $0.00 | 28,354 | D | — · — to — | 3,678 Common Stock | (F6) The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors. |
| 16 | Derivative | Restricted Stock Units | 2023-02-22 | A | A | 9,940 | $0.00 | 21,148 | D | — · — to — | 9,940 Common Stock | (F8) The stock units will vest based on their respective award agreements. (F10) 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. |