0001127602-17-010959.txt : 20170308 0001127602-17-010959.hdr.sgml : 20170308 20170308211535 ACCESSION NUMBER: 0001127602-17-010959 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170306 FILED AS OF DATE: 20170308 DATE AS OF CHANGE: 20170308 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: 17676609 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-03-06 0001535929 Voya Financial, Inc. VOYA 0001574919 Karaoglan Alain M 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2017-03-06 4 M 0 20930 A 55749 D Common Stock 2017-03-06 4 F 0 11684 41.35 D 44065 D Common Stock 2017-03-07 4 S 0 9246 41.1125 D 34819 D Common Stock 2017-03-07 4 M 0 27441 A 62260 D Common Stock 2017-03-07 4 F 0 15319 41.09 D 46941 D Common Stock 2017-03-08 4 S 0 12122 41.3683 D 34819 D Restricted Stock Units 2017-03-06 4 M 0 9118 0 D Common Stock 9118 114318 D Performance Stock Unit 1.06 2017-03-06 4 M 0 11144 0 D Common Stock 11812 87725 D Restricted Stock Units 2017-03-07 4 M 0 27441 0 D Common Stock 27441 86877 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 $41.0686 to $41.1300. 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 company, or a security holder of the company, full information regarding the shares sold at each separate price. 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 that were awarded as compensation. This transaction was executed in multiple trades at prices ranging from $41.3500 to $41.4500. 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 company, or a security holder of the company, 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. Executive Vice President and Chief Operating Officer /s/ Jean Weng, Attorney in Fact 2017-03-08