0001127602-20-007664.txt : 20200225 0001127602-20-007664.hdr.sgml : 20200225 20200225163942 ACCESSION NUMBER: 0001127602-20-007664 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200221 FILED AS OF DATE: 20200225 DATE AS OF CHANGE: 20200225 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: 20651338 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 2020-02-21 0001535929 Voya Financial, Inc. VOYA 0001237581 SILVA KEVIN D 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2020-02-21 4 M 0 32677 0 A 50601 D Common Stock 2020-02-21 4 F 0 15768 63.19 D 34833 D Common Stock 2020-02-24 4 S 0 8454 61.3596 D 26379 D Restricted Stock Units 2020-02-21 4 M 0 10299 0 D Common Stock 10299 17745 D Performance Stock Unit 1.50 2020-02-21 4 M 0 14919 0 D Common Stock 22378 36485 D Performance-Based Stock Options Common Stock 158574 158574 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 $61.3470 to $61.3750. 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 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. Executive Vice President and Chief Human Resources Officer /s/ Jean Weng, Attorney in Fact 2020-02-25