0001127602-16-063181.txt : 20160926
0001127602-16-063181.hdr.sgml : 20160926
20160926163245
ACCESSION NUMBER: 0001127602-16-063181
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160916
FILED AS OF DATE: 20160926
DATE AS OF CHANGE: 20160926
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ferrara Nancy
CENTRAL INDEX KEY: 0001685164
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 161902560
MAIL ADDRESS:
STREET 1: 230 PARK AVENUE
STREET 2: 14TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10169
3
1
form3.xml
PRIMARY DOCUMENT
X0206
3
2016-09-16
0
0001535929
Voya Financial, Inc.
VOYA
0001685164
Ferrara Nancy
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
19310
D
Performance Stock Unit
Common Stock
9608
D
Restricted Stock Units
Common Stock
17758
D
2015 Performance-Based Stock Options
37.60
2025-12-16
Common Stock
35800
D
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 can
range from 0% to 150% of the number presented above.
The options are subject to vesting conditions based on the achievement over a four quarter period of specified levels of Ongoing Business Adjusted Operating Return on Equity. The options generally become exercisable one year following achievement of the
relevant vesting condition.
To the extent that the relevant vesting condition discussed in footnote (3) has not been met by December 31, 2018, any unvested options will expire without value.
Executive Vice President, Operations and Continuous Improvement
Exhibit List: Exhibit 24 - Power of Attorney
/s/ Jean Weng, Attorney in Fact
2016-09-26
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): FERRARA POA
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes
and appoints each of Jean Weng, Megan A. Huddleston and Trevor Ogle
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 19th day of September, 2016.
/s/ Nancy Ferrara
Nancy Ferrara