SEC Form 4 · accession 0001127602-19-010862

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 · 5:40 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
Common Stock^F1	Mar 7, 2019	M	26,445	—	A	37,622	D
Common Stock	Mar 7, 2019	F	12,952	$49.10	D	24,670	D
Common Stock^F2	Mar 8, 2019	S	6,746	$48.242	D	17,924	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3	—	Mar 7, 2019	M	4,500	D	—	—	Common Stock	4,500	19,642	D
Performance Stock Unit^F4	$1.33	Mar 7, 2019	M	16,500	D	—	—	Common Stock	21,945	39,688	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.
F2This transaction was executed in multiple trades at prices ranging from $48.2000 to $48.2950. 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.
F3The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
F4The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
F5The options vest based on the conditions set forth in their respective agreements.

Executive Vice President and Chief Human Resources Officer