0001127602-22-006682.txt : 20220224 0001127602-22-006682.hdr.sgml : 20220224 20220224202022 ACCESSION NUMBER: 0001127602-22-006682 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220222 FILED AS OF DATE: 20220224 DATE AS OF CHANGE: 20220224 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: 22673843 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 2022-02-22 0001535929 Voya Financial, Inc. VOYA 0001685164 Ferrara Nancy 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2022-02-22 4 M 0 9997 0 A 23813 D Common Stock 2022-02-22 4 F 0 3935 68.32 D 19878 D Performance Stock Unit 2022-02-22 4 M 0 4537 0 D Common Stock 5852 11567 D Restricted Stock Units 2022-02-22 4 M 0 4145 0 D Common Stock 4145 4537 D Performance Stock Unit 2022-02-22 4 A 0 5470 0 A Common Stock 5470 17037 D Restricted Stock Units 2022-02-22 4 A 0 4694 0 A Common Stock 4694 9231 D Deferred Savings Plan Issuer Stock Units Common Stock 7264.041 7264.041 D Performance-Based Stock Options Common Stock 71174 71174 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. The performance stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors. Awarded at 129% of target. 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. 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 22, 2025) can range from 0% to 150% of the number presented above. 1/3 of the restricted stock units will vest on February 21, 2023, 1/3 on February 20, 2024 and 1/3 on February 18, 2025. 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. The options vest based on the conditions set forth in their respective agreements. Executive Vice President, Operations and Continuous Improvement /s/ Rachel Reid, Attorney-in-Fact 2022-02-24