0001127602-22-019198.txt : 20220711 0001127602-22-019198.hdr.sgml : 20220711 20220711173534 ACCESSION NUMBER: 0001127602-22-019198 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220707 FILED AS OF DATE: 20220711 DATE AS OF CHANGE: 20220711 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Michael S CENTRAL INDEX KEY: 0001574979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35897 FILM NUMBER: 221077784 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 2022-07-07 0001535929 Voya Financial, Inc. VOYA 0001574979 Smith Michael S 230 PARK AVENUE NEW YORK NY 10169 1 See Remarks Common Stock 205094 D Performance Stock Unit 2022-07-07 4 A 0 11754 0 A Common Stock 11754 98774 D Restricted Stock Units 2022-07-07 4 A 0 5037 0 A Common Stock 5037 48787 D Performance-Based Stock Options Common Stock 182374 182374 D Each stock unit represents a conditional right to receive one share of the company's common stock. The performance stock units (PSUs) use the Company's stock price as vesting hurdles over a three-year period ending June 30, 2025. There are six vesting hurdles ranging from $69.10 to $119.10, in $10 increments, with each hurdle providing for vesting of an amount of common shares equal to 25% of the PSUs granted, for a maximum number of shares delivered equal to 150% of the amount of PSUs granted. Consequently, the PSUs granted could result in delivery of a maximum of 17,631 shares of common stock. A hurdle is met when the Company's 30-day volume-weighted average stock price is equal to or greater than the hurdle amount, provided that no vesting may occur before July 1, 2023. Upon vesting, the recipient receives delivery of the relevant amount of shares only after the expiration of a one-year holding period from the vesting date, and will not receive any such shares if the recipient voluntarily terminates employment or is terminated for cause on or before such delivery date. 1/3 of the restricted stock units will vest on July 1, 2023, 1/3 on July 1, 2024 and 1/3 on July 1, 2025. The options vest based on the conditions set forth in their respective agreements. Vice Chairman and Chief Financial Officer /s/ Rachel Reid, Attorney-in-Fact 2022-07-11