Accession Number: | 0001127602-20-007664 |
Date: | 2020-02-21 |
Issuer: | VOYA FINANCIAL, INC. (VOYA) |
Original Submission Date: |
SILVA KEVIN D
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 | 2020-02-21 | M | 32,677 | a | $0.00 | 50,601 | direct | ||
COMMON STOCK | 2020-02-21 | F | 15,768 | d | $63.19 | 34,833 | direct | ||
COMMON STOCK | 2020-02-24 | S | 8,454 | d | $61.36 | 26,379 | 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 |
---|---|---|---|---|---|---|---|---|---|---|---|---|
RESTRICTED STOCK UNITS | 0.0 | 2020-02-21 | deemed execution date | M | 10,299 (d) | common stock 10,299 | $0.00 | 17,745 | direct | |||
PERFORMANCE STOCK UNIT | 1.5 | 2020-02-21 | deemed execution date | M | 14,919 (d) | common stock 22,378 | $1.50 | 36,485 | direct | |||
PERFORMANCE-BASED STOCK OPTIONS | 0.0 | 2020-02-21 | deemed execution date | 0 ( ) | common stock 158,574 | $0.00 | 158,574 | direct |
ID | footnote |
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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 and performance stock units that were awarded as compensation. |
f2 | this transaction was executed in multiple trades at prices ranging from $61.3470 to $61.3750. the price reported represents the weighted average sale price of these trades. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. |
f3 | the restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. |
f4 | the performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. |
f5 | the options vest based on the conditions set forth in their respective agreements. |