Form 4 for VOYA Voya Financial, Inc.
Accepted 2023-02-24 00:00:00 ET · period of report 2023-02-20 · accession 0001127602-23-006957 · 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 | MARTIN RODNEY O JR | Dir, See Remarks | S - Sale+OE | $73.73 | -109.6K | 287.8K | -28% | -$8.08M |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | MARTIN RODNEY O JR | Dir, See Remarks | F - Tax | $74.26 | -65.3K | 256.3K | -20% | -$4.85M |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | MARTIN RODNEY O JR | Dir, See Remarks | M - OptEx | $0.00 | +143.4K | 293.3K | +96% | $0 |
| DM | 2023-02-24 | 2023-02-22 | VOYA | MARTIN RODNEY O JR | Dir, See Remarks | A - Grant | $0.00 | +136.2K | 277.9K | +96% | $0 |
| DM | 2023-02-24 | 2023-02-20+ | VOYA | MARTIN RODNEY O JR | Dir, See Remarks | M - OptEx | $0.00 | -143.4K | 203.0K | -41% | $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 | 38,812 | $74.00 | 189,396 | D | — | — | (F3) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022. |
| 2 | Common | Common Stock | 2023-02-23 | S | D | 1 | $73.53 | 189,395 | D | — | — | (F3) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022. |
| 3 | Common | Common Stock | 2023-02-22 | S | D | 59,586 | $73.53 | 228,208 | D | — | — | (F3) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022. (F6) This transaction was executed in multiple trades at prices ranging from $72.97 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 issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. |
| 4 | Common | Common Stock | 2023-02-22 | S | D | 4,600 | $73.52 | 294,382 | D | — | — | (F3) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022. (F5) This transaction was executed in multiple trades at prices ranging from $73.02 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. |
| 5 | Common | Common Stock | 2023-02-22 | S | D | 6,588 | $74.17 | 287,794 | D | — | — | (F3) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2022. (F4) This transaction was executed in multiple trades at prices ranging from $74.00 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 securityholder of the company, full information regarding the shares sold at each separate price. |
| 6 | Common | Common Stock | 2023-02-22 | F | D | 2,287 | $73.34 | 298,982 | D | — | — | (F2) FICA tax withholding on the grant of restricted stock units. |
| 7 | Common | Common Stock | 2023-02-22 | M | A | 2,287 | $0.00 | 301,269 | D | — | — | (F2) FICA tax withholding on the grant of restricted stock units. |
| 8 | Common | Common Stock | 2023-02-22 | F | D | 8,266 | $73.34 | 298,982 | D | — | — | |
| 9 | Common | Common Stock | 2023-02-22 | M | A | 22,340 | $0.00 | 307,248 | 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. |
| 10 | Common | Common Stock | 2023-02-21 | F | D | 9,798 | $74.44 | 284,908 | D | — | — | |
| 11 | Common | Common Stock | 2023-02-21 | M | A | 26,481 | $0.00 | 294,706 | 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. |
| 12 | Common | Common Stock | 2023-02-20 | F | D | 7,998 | $74.44 | 268,225 | D | — | — | |
| 13 | Common | Common Stock | 2023-02-20 | M | A | 19,895 | $0.00 | 276,223 | 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. |
| 14 | Common | Common Stock | 2023-02-20 | F | D | 36,970 | $74.44 | 256,328 | D | — | — | |
| 15 | Common | Common Stock | 2023-02-20 | M | A | 72,416 | $0.00 | 293,298 | 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. |
| 16 | Derivative | Restricted Stock Units | 2023-02-22 | A | A | 61,296 | $0.00 | 132,462 | D | — · — to — | 61,296 Common Stock | (F12) Each stock unit represents a conditional right to receive one share of the company's common stock. (F13) 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. |
| 17 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 2,287 | $0.00 | 130,175 | D | — · — to — | 2,287 Common Stock | (F10) The stock units will vest based on their respective award agreements. |
| 18 | Derivative | Performance Stock Unit | 2023-02-22 | A | A | 74,897 | $0.00 | 277,886 | D | — · — to — | 74,897 Common Stock | (F10) The stock units will vest based on their respective award agreements. (F11) 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. |
| 19 | Derivative | Restricted Stock Units | 2023-02-22 | M | D | 22,340 | $0.00 | 71,166 | D | — · — to — | 22,340 Common Stock | (F9) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| 20 | Derivative | Restricted Stock Units | 2023-02-21 | M | D | 26,481 | $0.00 | 93,506 | D | — · — to — | 26,481 Common Stock | (F9) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| 21 | Derivative | Restricted Stock Units | 2023-02-20 | M | D | 19,895 | $0.00 | 119,987 | D | — · — to — | 19,895 Common Stock | (F9) The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
| 22 | Derivative | Performance Stock Unit | 2023-02-20 | M | D | 72,416 | $0.00 | 202,989 | D | — · — to — | 72,416 Common Stock | (F8) The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors. |