0001127602-19-010848.txt : 20190311 0001127602-19-010848.hdr.sgml : 20190311 20190311172309 ACCESSION NUMBER: 0001127602-19-010848 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190307 FILED AS OF DATE: 20190311 DATE AS OF CHANGE: 20190311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ragavan Chetlur S CENTRAL INDEX KEY: 0001596066 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 19673168 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 2019-03-07 0001535929 Voya Financial, Inc. VOYA 0001596066 Ragavan Chetlur S 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2019-03-07 4 M 0 23028 A 57595 D Common Stock 2019-03-07 4 F 0 9315 49.10 D 48280 D Common Stock 2019-03-08 4 S 0 13713 48.153 D 34567 D Restricted Stock Units 2019-03-07 4 M 0 3919 0 D Common Stock 3919 9231 D Performance Stock Unit 1.33 2019-03-07 4 M 0 14368 0 D Common Stock 19109 24081 D Performance-Based Stock Options Common Stock 87400 87400 D Deferred Savings Plan Issuer Stock Units Common Stock 8203.258 8203.258 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 and performance stock units that were awarded as compensation. This transaction was executed in multiple trades at prices ranging from $48.1500 to $48.2200. 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 company, or a security holder of the company, 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 performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. The options vest based on the conditions set forth in their respective agreements. 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. Executive Vice President and Chief Risk Officer /s/ Jean Weng, Attorney in Fact 2019-03-11