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