0001127602-19-008227.txt : 20190225
0001127602-19-008227.hdr.sgml : 20190225
20190225211440
ACCESSION NUMBER: 0001127602-19-008227
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190221
FILED AS OF DATE: 20190225
DATE AS OF CHANGE: 20190225
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smith Michael S
CENTRAL INDEX KEY: 0001574979
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 19631428
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
2019-02-21
0001535929
Voya Financial, Inc.
VOYA
0001574979
Smith Michael S
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
2019-02-21
4
M
0
6346
A
91976
D
Common Stock
2019-02-21
4
F
0
3422
50.03
D
88554
D
Restricted Stock Units
2019-02-21
4
M
0
6346
0
D
Common Stock
6346
49833
D
Restricted Stock Units
2019-02-21
4
A
0
16550
0
A
Common Stock
16550
66383
D
Performance Stock Unit
2019-02-21
4
A
0
20870
0
A
Common Stock
20870
96400
D
Performance-Based Stock Options
50.03
2019-02-21
4
A
0
71174
0
A
2029-02-21
Common Stock
71174
182374
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 that were awarded as compensation.
The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
Each stock unit represents a conditional right to receive one share of the company's common stock.
1/3 of the restricted stock units will vest on February 21, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.
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 21, 2022) can range from 0% to 150% of the number presented above.
The options are subject to vesting conditions based on the achievement of certain cost saving targets. 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 (6) has not been met by December 31, 2020, any unvested options will be forfeited.
Executive Vice President and Chief Financial Officer
/s/ Jean Weng, Attorney in Fact
2019-02-25