0001127602-18-008242.txt : 20180223 0001127602-18-008242.hdr.sgml : 20180223 20180223211720 ACCESSION NUMBER: 0001127602-18-008242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180221 FILED AS OF DATE: 20180223 DATE AS OF CHANGE: 20180223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Michael S CENTRAL INDEX KEY: 0001574979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 18638409 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 2018-02-21 0001535929 Voya Financial, Inc. VOYA 0001574979 Smith Michael S 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2018-02-22 4 M 0 6570 A 76165 D Common Stock 2018-02-22 4 F 0 3535 50.71 D 72630 D Restricted Stock Units 2018-02-21 4 A 0 19039 0 A Common Stock 19039 81166 D Performance Stock Unit 2018-02-21 4 A 0 22091 0 A Common Stock 22091 80768 D Restricted Stock Units 2018-02-22 4 M 0 6570 0 D Common Stock 6570 74596 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 that were awarded as compensation. Each stock unit represents a conditional right to receive one share of the company's common stock. 1/3 of the restricted stock units will vest on February 21, 2019, 1/3 on February 21, 2020 and 1/3 on February 21, 2021. 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 21, 2021) can range from 0% to 150% of the number presented above. The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date. Executive Vice President and Chief Financial Officer /s/ Jean Weng, Attorney in Fact 2018-02-23