Voya Financial, Inc. — Director's Dealing 2020

Nov 16, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Voya Financial, Inc. (VOYA)
CIK: 0001535929
Period of Report: 2020-11-13

Reporting Person: MARTIN RODNEY O JR (Director, Chairman and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-13	Common Stock	S	84180	$55.00	Disposed	148277	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5591.1975	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Deferred Savings Plan Issuer Stock Units	$		Common Stock (7756.335)	7756.335	Direct
Performance Stock Unit	$		Common Stock (247747)	247747	Direct
Performance-Based Stock Options	$		Common Stock (158900)	158900	Direct
Restricted Stock Units	$		Common Stock (124612)	124612	Direct

Footnotes

F1: As previously disclosed on the Company's Form 8-K dated September 24, 2019, the sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 3, 2019.

F2: Each 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.

F3: The stock units will vest based on their respective award agreements.

F4: 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 can range from 0% to 150% of the number presented above.

F5: The options vest based on the conditions set forth in their respective agreements.