0001127602-16-059945.txt : 20160809 0001127602-16-059945.hdr.sgml : 20160809 20160809180318 ACCESSION NUMBER: 0001127602-16-059945 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160808 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 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: MARTIN RODNEY O JR CENTRAL INDEX KEY: 0001236604 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 161819506 MAIL ADDRESS: STREET 1: 70 PINE ST CITY: NEW YORK STATE: NY ZIP: 10270 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-08-08 0001535929 Voya Financial, Inc. VOYA 0001236604 MARTIN RODNEY O JR 230 PARK AVENUE NEW YORK NY 10169 1 1 Chairman and CEO Common Stock 2016-08-08 4 J 0 100000 D 57779 D Common Stock 3574.2696 I By 401(k) Plan Deferred Savings Plan Issuer Stock Units Common Stock 7462.467 7462.467 D Performance Stock Unit Common Stock 165348 165348 D Restricted Stock Units Common Stock 222354 222354 D These shares were transferred from the reporting person to the Rodney O. Martin Jr. 2006 Irrevocable Insurance Trust, an estate planning trust for the benefit of certain members of the reporting person's family. In consideration of the transfer, the reporting person received from the trust a promissory note in the amount of $2,806,500 (or $28.065 per share), calculated as the average of the high and low reported trading prices of Voya Financial, Inc. common stock on the date of transfer, multiplied by the number of shares transferred. 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 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. /s/ Jean Weng, Attorney in Fact 2016-08-09