SEC Form 4 · accession 0001127602-19-010843

Voya Financial, Inc. · VOYA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — See Remarks

Period of report

Mar 7, 2019

Accepted (ET)

Mar 11, 2019 · 5:17 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001535929

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Mar 7, 2019	M	22,141	—	A	40,203	D
Common Stock	Mar 7, 2019	F	10,845	$49.10	D	29,358	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2	—	Mar 7, 2019	M	3,768	D	—	—	Common Stock	3,768	22,814	D
Performance Stock Unit^F3	$1.33	Mar 7, 2019	M	13,815	D	—	—	Common Stock	18,373	43,321	D
Deferred Savings Plan Issuer Stock Units^F4	—	Mar 7, 2019	A	352	A	—	—	Common Stock	352	1,567	D
Performance-Based Stock Options^F5	—	holding	—	—	—	—	—	Common Stock	158,574	158,574	D

F1Delivery 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.
F2The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F3The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
F4Each of these units represents a right to receive the cash value of one share of the company's common stock upon the reporting person's separation from the company. The reporting person may reallocate investments in these units to alternative investments in the future.
F5The options vest based on the conditions set forth in their respective agreements.

Executive Vice President and Chief Legal Officer