0001127602-19-008239.txt : 20190225
0001127602-19-008239.hdr.sgml : 20190225
20190225213444
ACCESSION NUMBER: 0001127602-19-008239
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190221
FILED AS OF DATE: 20190225
DATE AS OF CHANGE: 20190225
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ferrara Nancy
CENTRAL INDEX KEY: 0001685164
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 19631445
MAIL ADDRESS:
STREET 1: 230 PARK AVENUE
STREET 2: 14TH FLOOR
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
2019-02-21
0001535929
Voya Financial, Inc.
VOYA
0001685164
Ferrara Nancy
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
2019-02-21
4
M
0
1633
A
27771
D
Common Stock
2019-02-21
4
F
0
640
50.03
D
27131
D
Restricted Stock Units
2019-02-21
4
M
0
1633
0
D
Common Stock
1633
18204
D
Restricted Stock Units
2019-02-21
4
A
0
3597
0
A
Common Stock
3597
21801
D
Performance Stock Unit
2019-02-21
4
A
0
4537
0
A
Common Stock
4537
24670
D
Performance-Based Stock Options
50.03
2019-02-21
4
A
0
71174
0
A
2029-02-21
Common Stock
71174
106974
D
Deferred Savings Plan Issuer Stock Units
Common Stock
7053.546
7053.546
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.
The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.
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, 2020, 1/3 on February 21, 2021 and 1/3 on February 21, 2022.
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, 2022) can range from 0% to 150% of the number presented above.
The options are subject to vesting conditions based on the achievement of certain cost saving targets. The options generally become exercisable one year following achievement of the relevant vesting condition.
To the extent that the relevant vesting condition discussed in footnote (6) has not been met by December 31, 2020, any unvested options will be forfeited.
Each of these units represents a right to receive the cash value of one share of the company's common stock upon the reporting person's separation from the company. The reporting person may reallocate investments in these units to alternative investments in the future.
Executive Vice President of Operations and Continuous Improvement (CI)
/s/ Jean Weng, Attorney in Fact
2019-02-25