0001127602-21-017557.txt : 20210520 0001127602-21-017557.hdr.sgml : 20210520 20210520160602 ACCESSION NUMBER: 0001127602-21-017557 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210519 FILED AS OF DATE: 20210520 DATE AS OF CHANGE: 20210520 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: 21944513 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 2021-05-19 0001535929 Voya Financial, Inc. VOYA 0001685164 Ferrara Nancy 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2021-05-19 4 S 0 3000 65.6507 D 28816 D Restricted Stock Units Common Stock 8682 8682 D Performance Stock Unit Common Stock 16104 16104 D Performance-Based Stock Options Common Stock 106974 106974 D Deferred Savings Plan Issuer Stock Units Common Stock 7203.357 7203.357 D This transaction was executed in multiple trades at prices ranging from $65.19 to $66.07. 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. Executive Vice President, Operations and Continuous Improvement /s/ Rachel Reid, Attorney-in-Fact 2021-05-20