0001127602-17-013068.txt : 20170328 0001127602-17-013068.hdr.sgml : 20170328 20170328174745 ACCESSION NUMBER: 0001127602-17-013068 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170327 FILED AS OF DATE: 20170328 DATE AS OF CHANGE: 20170328 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: SILVA KEVIN D CENTRAL INDEX KEY: 0001237581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 17720069 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-03-27 0001535929 Voya Financial, Inc. VOYA 0001237581 SILVA KEVIN D 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2017-03-27 4 M 0 9144 A 23825 D Common Stock 2017-03-27 4 F 0 5105 36.98 D 18720 D Common Stock 2017-03-28 4 S 0 4039 37.288 D 14681 D Restricted Stock Units 2017-03-27 4 M 0 9144 0 D Common Stock 9144 29274 D Performance Stock Unit Common Stock 35321 35321 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 shares being sold are vested equity awards granted in 2013 with respect to the 2012 performance year. This transaction was executed in multiple trades at prices ranging from $37.2750 to $37.3050. 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 restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. 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. Executive Vice President and Chief Human Resources Officer /s/ Jean Weng, Attorney in Fact 2017-03-28