0001127602-22-006684.txt : 20220224 0001127602-22-006684.hdr.sgml : 20220224 20220224202447 ACCESSION NUMBER: 0001127602-22-006684 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: Katz Michael Robert CENTRAL INDEX KEY: 0001853487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 22673856 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 2022-02-22 0001535929 Voya Financial, Inc. VOYA 0001853487 Katz Michael Robert 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 2022-02-22 4 M 0 10692 0 A 23743 D Common Stock 2022-02-22 4 F 0 4697 68.32 D 19046 D Common Stock 2022-02-23 4 S 0 4054 66.4785 D 14992 D Performance Stock Unit 2022-02-22 4 M 0 4176 0 D Common Stock 5387 13595 D Restricted Stock Units 2022-02-22 4 M 0 5575 0 D Common Stock 5575 6485 D Performance Stock Unit 2022-02-22 4 A 0 6205 0 A Common Stock 6205 19800 D Restricted Stock Units 2022-02-22 4 A 0 5325 0 A Common Stock 5325 11810 D Deferred Savings Plan Issuer Stock Units Common Stock 798.585 798.585 D Performance-Based Stock Options Common Stock 56187 56187 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 transaction was executed in multiple trades at prices ranging from $66.4660 to $66.4850. 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 issuer, or security holder of the issuer, full information regarding the shares sold at each separate price. 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 the units to alternative investments in the future. Includes a dividend of 4.522 shares. The options vest based on the conditions set forth in their respective agreements. Executive Vice President, Chief Strategy, Planning and Investor Relations Officer /s/ Rachel Reid, Attorney-in-Fact 2022-02-24