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Voya Financial, Inc. — Director's Dealing 2021
Mar 18, 2021
30803_dirs_2021-03-18_dc2202a7-3373-41d6-bd2b-dc46ab8ae1d9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Voya Financial, Inc. (VOYA)
CIK: 0001535929
Period of Report: 2021-03-16
Reporting Person: Grubka Robert L. (CEO, Health Solutions)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-16 | Common Stock | M | 27800 | $37.60 | Acquired | 44939 | Direct |
| 2021-03-16 | Common Stock | F | 21549 | $64.10 | Disposed | 23390 | Direct |
| 2021-03-16 | Common Stock | S | 6251 | $64.1115 | Disposed | 17139 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-16 | Performance-Based Stock Options | $37.60 | M | 27800 | Disposed | 2025-12-16 | Common Stock (27800) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 401(k) Plan Issuer Stock Units | $ | Common Stock (1786.8789) | 1786.8789 | Direct | |
| Deferred Savings Plan Issuer Stock Units | $ | Common Stock (374) | 374 | Direct | |
| Performance Stock Unit | $ | Common Stock (20438) | 20438 | Direct | |
| Restricted Stock Units | $ | Common Stock (14098) | 14098 | Direct |
Footnotes
F1: These common shares were delivered to the issuer to pay the options' exercise price and applicable tax due upon vesting of the stock options.
F2: This transaction was executed in multiple trades at prices ranging from $64.1101 to $64.1370. The price report 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.
F3: 25% of the options were exercisable on March 31, 2018. 75% of the options were exercisable on June 30, 2018.
F4: 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.
F5: The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
F6: The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.