Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-007292
Date:2020-02-20
Issuer: VOYA FINANCIAL, INC. (VOYA)
Original Submission Date:

Reporting Person:

SILVA KEVIN D
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 M 469 a $0.00 18,393 direct
COMMON STOCK 2020-02-20 F 469 d $63.62 17,924 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 11,716 (a) common stock 11,716 $0.00 51,404 direct
RESTRICTED STOCK UNITS 0.0 2020-02-20 deemed execution date A 8,871 (a) common stock 8,871 $0.00 28,513 direct
RESTRICTED STOCK UNITS 0.0 2020-02-20 deemed execution date M 469 (d) common stock 469 $0.00 28,044 direct
PERFORMANCE-BASED STOCK OPTIONS 0.0 2020-02-20 deemed execution date 0 ( ) common stock 158,574 $0.00 158,574 direct
Footnotes
IDfootnote
f1 delivery 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 that were awarded as compensation.
f2 fica tax withholding on the grant of restricted stock units.
f3 each stock unit represents a conditional right to receive one share of the company's common stock.
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 (february 20, 2023) can range from 0% to 150% of the number presented above.
f5 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.
f6 the restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
f7 the options vest based on the conditions set forth in their respective agreements.
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