0001127602-19-032556.txt : 20191112 0001127602-19-032556.hdr.sgml : 20191112 20191112171946 ACCESSION NUMBER: 0001127602-19-032556 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191110 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ferrara Nancy CENTRAL INDEX KEY: 0001685164 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 191210835 MAIL ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: 14TH FLOOR 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 2019-11-10 0001535929 Voya Financial, Inc. VOYA 0001685164 Ferrara Nancy 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2019-11-10 4 M 0 8384 A 17884 D Common Stock 2019-11-10 4 F 0 3300 57.34 D 14584 D Restricted Stock Units 2019-11-10 4 M 0 8384 0 D Common Stock 8384 8795 D Performance Stock Unit Common Stock 18068 18068 D Deferred Savings Plan Issuer Stock Units Common Stock 7075.612 7075.612 D Performance-Based Stock Options Common Stock 106974 106974 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. 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. Executive Vice President of Operations and Continuous Improvement (CI) /s/ Jean Weng, Attorney in Fact 2019-11-12