Voya Financial, Inc. — Director's Dealing 2021

Apr 16, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Voya Financial, Inc. (VOYA)
CIK: 0001535929
Period of Report: 2021-04-15

Reporting Person: Nelson Charles P (See Remarks)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-04-15	Deferred Savings Plan Issuer Stock Units	$	A	5.368	Acquired		Common Stock (5.368)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	154928	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Performance Stock Unit	$		Common Stock (71118)	71118	Direct
Performance-Based Stock Options	$		Common Stock (182374)	182374	Direct
Restricted Stock Units	$		Common Stock (52914)	52914	Direct

Footnotes

F1: 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.

F2: The stock units will vest based on their respective award agreements.

F3: The options vest based on the conditions set forth in their respective 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.