Filing Details
- Accession Number:
- 0001127602-23-006955
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-24 08:36:53
- Reporting Period:
- 2023-02-20
- Accepted Time:
- 2023-02-24 08:36:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1535929 | Voya Financial Inc. | VOYA | Life Insurance (6311) | 521222820 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1947110 | Trevor Ogle | 230 Park Avenue New York NY 10169 | See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-02-20 | 3,678 | $0.00 | 3,845 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-20 | 1,327 | $74.44 | 2,518 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2023-02-20 | 1,585 | $0.00 | 4,103 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-20 | 609 | $74.44 | 3,494 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2023-02-21 | 2,462 | $0.00 | 5,956 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-21 | 888 | $74.44 | 5,068 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2023-02-22 | 2,039 | $0.00 | 7,107 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-22 | 736 | $73.34 | 6,371 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-02-22 | 4,901 | $74.05 | 1,470 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-02-23 | 1,303 | $73.47 | 167 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Stock Unit | Disposition | 2023-02-20 | 3,678 | $0.00 | 3,678 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-02-20 | 1,585 | $0.00 | 1,585 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-02-21 | 2,462 | $0.00 | 2,462 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-02-22 | 2,039 | $0.00 | 2,039 | $0.00 |
| Common Stock | Performance Stock Unit | Acquisiton | 2023-02-22 | 12,145 | $0.00 | 12,145 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2023-02-22 | 9,940 | $0.00 | 9,940 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,354 | No | 4 | M | Direct | ||
| 15,709 | No | 4 | M | Direct | ||
| 13,247 | No | 4 | M | Direct | ||
| 11,208 | No | 4 | M | Direct | ||
| 40,499 | No | 4 | A | Direct | ||
| 21,148 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,463 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance-Based Stock Options | $0.00 | 12,500 | 12,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,500 | 12,500 | Direct |
Footnotes
- 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.
- 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.
- 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.
- 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.
- Includes automatic semi-monthly contributions to the reporting person's 401(k).
- The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
- The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date.
- The stock units will vest based on their respective award agreements.
- 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.
- 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.
- The options vest based on conditions set forth in their respective agreements.
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