0001127602-23-006894.txt : 20230223 0001127602-23-006894.hdr.sgml : 20230223 20230223203656 ACCESSION NUMBER: 0001127602-23-006894 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230220 FILED AS OF DATE: 20230223 DATE AS OF CHANGE: 20230223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hurtsellers Christine CENTRAL INDEX KEY: 0001481859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 23661981 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Voya Financial, Inc. CENTRAL INDEX KEY: 0001535929 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 521222820 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 212-309-8200 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 FORMER COMPANY: FORMER CONFORMED NAME: ING U.S., Inc. DATE OF NAME CHANGE: 20120709 FORMER COMPANY: FORMER CONFORMED NAME: ING America Insurance Holdings, Inc. DATE OF NAME CHANGE: 20111130 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2023-02-20 0001535929 Voya Financial, Inc. VOYA 0001481859 Hurtsellers Christine 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2023-02-20 2023-02-21 4 M 0 20597 0 A 79107 D Common Stock 2023-02-20 2023-02-21 4 F 0 9290 74.44 D 69817 D Common Stock 2023-02-20 2023-02-21 4 M 0 5942 0 A 75759 D Common Stock 2023-02-20 2023-02-21 4 F 0 2726 74.44 D 73033 D Common Stock 2023-02-21 4 M 0 6404 0 A 79437 D Common Stock 2023-02-21 4 F 0 2751 74.44 D 76686 D Common Stock 2023-02-22 4 M 0 5427 0 A 82113 D Common Stock 2023-02-22 4 F 0 2342 73.34 D 79771 D Common Stock 2023-02-22 4 S 0 25000 73.6377 D 54771 D Common Stock 2023-02-22 4 M 0 650 0 A 55421 D Common Stock 2023-02-22 4 F 0 650 73.34 D 54771 D Common Stock 2023-02-23 4 S 0 18026 73.6858 D 36745 D Performance Stock Unit 2023-02-20 2023-02-21 4 M 0 20597 0 D Common Stock 20597 61764 D Restricted Stock Units 2023-02-20 2023-02-21 4 M 0 5942 0 D Common Stock 5942 34131 D Restricted Stock Units 2023-02-21 4 M 0 6404 0 D Common Stock 6404 27727 D Restricted Stock Units 2023-02-22 4 M 0 5427 0 D Common Stock 5427 22300 D Performance Stock Unit 2023-02-22 4 A 0 19328 0 A Common Stock 19328 81092 D Restricted Stock Units 2023-02-22 4 A 0 15818 0 A Common Stock 15818 38118 D Restricted Stock Units 2023-02-22 4 M 0 650 0 D Common Stock 650 37468 D Performance-Based Stock Options Common Stock 110874 110874 D 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. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 9, 2021. The transaction was executed in multiple trades at prices ranging from $73.20 to $74.56 to $74.34. 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 security holder of the issuer, full information regarding the shares sold at each separate price. FICA tax withholding on the grant of restricted stock units. The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. The stock units will vest based on their respective award agreements. 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 17, 2026) can range from 0% to 150% of the number presented above. 1/3 of the restricted stock units will vest on February 20, 2024, 1/3 on February 18, 2025 and 1/3 on February 17, 2026. The options vest based on the conditions set forth in their respective agreements. CEO, Investment Management | Exhibit List: Exhibit 24 - Power of Attorney /s/ My Chi To, Attorney-in-Fact 2023-02-23 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): POA POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of My Chi To and Julie Watson of Voya Financial, Inc.(the ?Company?), or any of them signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC; (2) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of the Company, Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 1st day of February, 2023. /s/ Christine L. Hurtsellers Christine L. Hurtsellers