0001127602-14-017190.txt : 20140512 0001127602-14-017190.hdr.sgml : 20140512 20140512180426 ACCESSION NUMBER: 0001127602-14-017190 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140508 FILED AS OF DATE: 20140512 DATE AS OF CHANGE: 20140512 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: 212-309-6516 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARTIN RODNEY O JR CENTRAL INDEX KEY: 0001236604 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 14834745 MAIL ADDRESS: STREET 1: 70 PINE ST CITY: NEW YORK STATE: NY ZIP: 10270 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-05-08 0001535929 Voya Financial, Inc. VOYA 0001236604 MARTIN RODNEY O JR 230 PARK AVENUE NEW YORK NY 10169 1 1 Chairman and CEO Common Stock 2014-05-08 4 I 0 684.661 34.25 A 684.661 I By 401(k) Plan Deferred Savings Plan Issuer Stock Units 2014-05-08 4 I 0 3046.167 34.25 A Common Stock 3046.167 3046.167 D The Issuer's 401(k) Plan's Issuer stock fund (the "Fund") is invested primarily, but not exclusively, in shares of the Issuer's Common Stock. These units include shares of the Issuer's Common Stock and cash. The ratio of Common Stock and cash fluctuates based on cash held in the Fund, shares held in the Fund and the price of the Common Stock. The reporting person may reallocate investments in these units to alternative investments in the future. The unit value of the Fund is calculated based on the total value of the Fund divided by the outstanding fund units, where the total Fund value is determined based on the total shares held at the end of each day times the closing share price plus the amount of cash held in the Fund. The Fund targets a cash balance equal to 3% of the total Fund value with the remaining 97% held in the Issuer's Common Stock. On May 8, 2014, the reporting person acquired 2,177.5653 units, the Fund's closing unit value was $11.295147 and the closing share price of the Issuer's Common Stock was $34.25. Each of these units represents a right to receive the cash value of one share of the Issuer's Common Stock upon the reporting person's separation from the Issuer. The reporting person may reallocate investments in these units to alternative investments in the future. /s/ Harris Oliner, attorney in fact 2014-05-12