0001127602-21-007034.txt : 20210222 0001127602-21-007034.hdr.sgml : 20210222 20210222162947 ACCESSION NUMBER: 0001127602-21-007034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210218 FILED AS OF DATE: 20210222 DATE AS OF CHANGE: 20210222 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: 21660722 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 2021-02-18 0001535929 Voya Financial, Inc. VOYA 0001237581 SILVA KEVIN D 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2021-02-18 4 M 0 427 0 A 26806 D Common Stock 2021-02-18 4 F 0 427 59.59 D 26379 D Performance Stock Unit 2021-02-18 4 A 0 12952 0 A Common Stock 12952 49437 D Restricted Stock Units 2021-02-18 4 A 0 9974 0 A Common Stock 9974 27719 D Restricted Stock Units 2021-02-18 4 M 0 427 0 D Common Stock 427 27292 D Performance-Based Stock Options Common Stock 71174 71174 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. FICA tax withholding on the grant of restricted stock units. Each stock unit represents a conditional right to receive one share of the company's common stock. 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 (February 18, 2024) can range from 0% to 150% of the number presented above. 1/3 of the restricted stock units will vest on February 18, 2022, 1/3 on February 18, 2023 and 1/3 on February 18, 2024. The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. 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 2021-02-22