0001127602-19-032375.txt : 20191108 0001127602-19-032375.hdr.sgml : 20191108 20191108185527 ACCESSION NUMBER: 0001127602-19-032375 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191107 FILED AS OF DATE: 20191108 DATE AS OF CHANGE: 20191108 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: 191205301 MAIL ADDRESS: STREET 1: 70 PINE ST CITY: NEW YORK STATE: NY ZIP: 10270 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 2019-11-07 0001535929 Voya Financial, Inc. VOYA 0001236604 MARTIN RODNEY O JR 230 PARK AVENUE NEW YORK NY 10169 1 1 Chairman and CEO Common Stock 2019-11-07 4 S 0 129684 57.8587 D 159373 D Common Stock 5144.5647 I By 401(k) Plan Performance Stock Unit Common Stock 253421 253421 D Restricted Stock Units Common Stock 130649 130649 D Deferred Savings Plan Issuer Stock Units Common Stock 7658.585 7658.585 D Performance-Based Stock Options Common Stock 158900 158900 D As previously disclosed on the Company's Form 8-K dated September 24, 2019, the sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 3, 2019. This transaction was executed in multiple trades at prices ranging from $57.23 to $58.115. 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 a security holder of the issuer, full information regarding the shares sold at each separate price. 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. 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. The options vest based on the conditions set forth in their respective agreements. /s/ Jean Weng, Attorney in Fact 2019-11-08