0001127602-21-029678.txt : 20211119 0001127602-21-029678.hdr.sgml : 20211119 20211119160601 ACCESSION NUMBER: 0001127602-21-029678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211117 FILED AS OF DATE: 20211119 DATE AS OF CHANGE: 20211119 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: 211428362 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 2021-11-17 0001535929 Voya Financial, Inc. VOYA 0001685164 Ferrara Nancy 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2021-11-17 4 M 0 14320 37.60 A 28136 D Common Stock 2021-11-17 4 S 0 14320 70.005 D 13816 D Performance-Based Stock Options 37.60 2021-11-17 4 M 0 14320 0 D 2025-12-16 Common Stock 14320 92654 D Restricted Stock Units Common Stock 8682 8682 D Performance Stock Unit Common Stock 16104 16104 D Deferred Savings Plan Issuer Stock Units Common Stock 7242.247 7242.247 D The option exercise and stock sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 20, 2021. 25% of the options were exercisable on March 31, 2018. 75% of the options were exercisable on June 30, 2018. The stock units will vest based on their respective award agreements. 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. Includes dividend of 19.341 shares. Executive Vice President, Operations and Continuous Improvement /s/ Rachel Reid, Attorney-in-Fact 2021-11-19