Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-007648
Date:2020-02-21
Issuer: VOYA FINANCIAL, INC. (VOYA)
Original Submission Date:

Reporting Person:

NELSON CHARLES P
230 PARK AVE
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 2020-02-21 M 57,029 a $0.00 144,789 direct
COMMON STOCK 2020-02-21 F 23,182 d $63.19 121,607 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
RESTRICTED STOCK UNITS 0.0 2020-02-21 deemed execution date M 18,427 (d) common stock 18,427 $0.00 46,489 direct
PERFORMANCE STOCK UNIT 1.5 2020-02-21 deemed execution date M 25,735 (d) common stock 38,602 $1.50 63,393 direct
PERFORMANCE-BASED STOCK OPTIONS 0.0 2020-02-21 deemed execution date 0 ( ) common stock 182,374 $0.00 182,374 direct
DEFERRED SAVINGS PLAN ISSUER STOCK UNITS 0.0 2020-02-21 deemed execution date 0 ( ) common stock 2,457 $0.00 2,457 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 and performance stock units that were awarded as compensation.
f2 the restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
f3 the performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
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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