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