Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-007229
Date:2020-02-20
Issuer: VOYA FINANCIAL, INC. (VOYA)
Original Submission Date:

Reporting Person:

FERRARA NANCY
230 PARK AVENUE
NEW YORK, NY 10169

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-02-20 0 $0.00 14,584 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PERFORMANCE STOCK UNIT 0.0 2020-02-20 deemed execution date A 5,371 (a) common stock 5,371 $0.00 23,439 direct
RESTRICTED STOCK UNITS 0.0 2020-02-20 deemed execution date A 4,067 (a) common stock 4,067 $0.00 12,862 direct
PERFORMANCE-BASED STOCK OPTIONS 0.0 2020-02-20 deemed execution date 0 ( ) common stock 106,974 $0.00 106,974 direct
DEFERRED SAVINGS PLAN ISSUER STOCK UNITS 0.0 2020-02-20 deemed execution date 0 ( ) common stock 7,093 $0.00 7,093 direct
Footnotes
IDfootnote
f1 each stock unit represents a conditional right to receive one share of the company's common stock.
f2 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 (february 20, 2023) can range from 0% to 150% of the number presented above.
f3 1/3 of the restricted stock units will vest on february 20, 2021, 1/3 on february 20, 2022 and 1/3 on february 20, 2023.
f4 the options vest based on the conditions set forth in their respective agreements.
f5 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.
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