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