| Accession Number: | 0001127602-20-007285 |
| Date: | 2020-02-20 |
| Issuer: | VOYA FINANCIAL, INC. (VOYA) |
| Original Submission Date: |
PORT LARRY
230 PARK AVENUE
NEW YORK, NY 10169
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2020-02-20 | M | 290 | a | $0.00 | 14,331 | direct | ||
| COMMON STOCK | 2020-02-20 | F | 290 | d | $63.62 | 14,041 | direct |
| 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 Exercisable | Expiration 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 | 5,604 (a) | common stock 5,604 | $0.00 | 12,303 | direct | |||
| RESTRICTED STOCK UNITS | 0.0 | 2020-02-20 | deemed execution date | A | 4,243 (a) | common stock 4,243 | $0.00 | 8,187 | direct | |||
| RESTRICTED STOCK UNITS | 0.0 | 2020-02-20 | deemed execution date | M | 290 (d) | common stock 290 | $0.00 | 7,897 | direct |
| ID | footnote |
|---|---|
| f1 | fica tax withholding on the grant of restricted stock units. |
| f2 | each stock unit represents a conditional right to receive one share of the company's common stock. |
| f3 | 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. |
| f4 | 1/3 of the restricted stock units will vest on february 20, 2021, 1/3 on february 20, 2022 and 1/2 on february 20, 2023. |
| f5 | the restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
