0001127602-16-045816.txt : 20160309
0001127602-16-045816.hdr.sgml : 20160309
20160309174220
ACCESSION NUMBER: 0001127602-16-045816
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160307
FILED AS OF DATE: 20160309
DATE AS OF CHANGE: 20160309
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Karaoglan Alain M
CENTRAL INDEX KEY: 0001574919
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 161495598
MAIL ADDRESS:
STREET 1: 230 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10169
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-03-07
0001535929
Voya Financial, Inc.
VOYA
0001574919
Karaoglan Alain M
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
2016-03-07
4
M
0
52345
A
57445
D
Common Stock
2016-03-07
4
F
0
28863
31.35
D
28582
D
Restricted Stock Units
2016-03-07
4
M
0
40421
0
D
Common Stock
40421
74012
D
Performance Stock Unit
2016-03-07
4
M
0
11144
0
D
Common Stock
11924
22289
D
Restricted Stock Units
2016-03-07
4
A
0
35368
0
A
Common Stock
35368
109380
D
Performance Stock Unit
2016-03-07
4
A
0
43228
0
A
Common Stock
43228
65517
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.
The restricted stock units were awarded as compensation in 2014 and 2015 and converted to common stock on a 1 to 1 basis upon the vesting date.
The performance stock units were awarded as compensation in 2015 and converted to common stock based on the achievement of certain performance factors.
Each stock unit represents a conditional right to receive one share of the company's common stock.
The number of stock units granted was determined by reference to the closing price of a share of the company's common stock on March 7, 2016, the date of the grant.
1/3 of the restricted stock units will vest on March 7, 2017, 1/3 on March 7, 2018 and 1/3 on March 7, 2019.
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 (March 7, 2019) can range from 0% to 150% of the number presented above.
Executive Vice President, Chief Operating Officer and CEO of Retirement and Investment Solutions
/s/ Jean Weng, Attorney in Fact
2016-03-09