0001127602-23-006949.txt : 20230223
0001127602-23-006949.hdr.sgml : 20230223
20230223214511
ACCESSION NUMBER: 0001127602-23-006949
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230220
FILED AS OF DATE: 20230223
DATE AS OF CHANGE: 20230223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Keshavan Santhosh
CENTRAL INDEX KEY: 0001852193
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 23662173
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
2023-02-20
0001535929
Voya Financial, Inc.
VOYA
0001852193
Keshavan Santhosh
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
2023-02-20
2023-02-21
4
M
0
2874
0
A
20038
D
Common Stock
2023-02-20
2023-02-21
4
F
0
1332
74.44
D
18706
D
Common Stock
2023-02-20
2023-02-21
4
M
0
1239
0
A
19945
D
Common Stock
2023-02-20
2023-02-21
4
F
0
575
74.44
D
19370
D
Common Stock
2023-02-21
4
M
0
2531
0
A
21901
D
Common Stock
2023-02-21
4
F
0
1173
74.44
D
20728
D
Common Stock
2023-02-22
4
M
0
2140
0
A
22868
D
Common Stock
2023-02-22
4
F
0
992
73.34
D
21876
D
Common Stock
2023-02-22
4
S
0
3564
74.056
D
18312
D
Common Stock
2023-02-23
4
S
0
1148
73.47
D
17164
D
Performance Stock Unit
2023-02-20
2023-02-21
4
M
0
2874
0
D
Common Stock
2874
29985
D
Restricted Stock Units
2023-02-20
2023-02-21
4
M
0
1239
0
D
Common Stock
1239
16521
D
Restricted Stock Units
2023-02-21
4
M
0
2531
0
D
Common Stock
2531
13990
D
Restricted Stock Units
2023-02-22
4
M
0
2140
0
D
Common Stock
2140
11850
D
Performance Stock Unit
2023-02-22
4
A
0
13495
0
A
Common Stock
13495
43480
D
Restricted Stock Units
2023-02-22
4
A
0
11044
0
A
Common Stock
11044
22894
D
Performance-Based Stock Options
Common Stock
35587
35587
D
Delivery of shares of the company's common stock was made to the reporting person without the payment of ay consideration in connection with the vesting of the underlying restricted stock units and performance stock units that were awarded as compensation.
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2022.
This transaction was executed in multiple trades at prices ranging from $73.65 to $74.48. 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 company, or a security holder of the company, full information regarding the shares sold at each seperate price.
The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.
The restricted stock units were awarded as compensation and converted to common stock based on the achievement of certain performance factors.
The stock units will vest based on their respective award agreements.
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 17, 2026) can range from 0% to 150% of the number presented above.
1/3 of the restricted stock units will vest on February 20, 2024, 1/3 on February 18, 2025 and 1/3 on February 17, 2026.
The options vest based on the conditions set forth in their respective agreements.
Executive Vice President, Chief Information Officer | Exhibit List: Exhibit 24 - Power of Attorney
/s/ My Chi To, Attorney-in-Fact
2023-02-23
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): POA
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes
and appoints each of My Chi To and Julie Watson of Voya Financial,
Inc.(the ?Company?), or any of them signing singly, and with full power
of substitution, the undersigned's true and lawful attorney-in-fact to:
(1) prepare, execute in the undersigned's name and on the
undersigned's behalf, and submit to the U.S. Securities and
Exchange Commission (the "SEC") a Form ID, including amendments
thereto, and any other documents necessary or appropriate to obtain
codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the
Securities Exchange Act of 1934 or any rule or regulation of the
SEC;
(2) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer and/or director of the Company,
Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities
Exchange Act of 1934 and the rules thereunder;
(3) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4, or 5, complete and execute any amendment
or amendments thereto, and timely file such form with the SEC and
any stock exchange or similar authority; and
(4) take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such attorney-in-fact,
may be of benefit to, in the best interest of, or legally required
by, the undersigned, it being understood that the documents executed
by such attorney-in-fact on behalf of the undersigned pursuant to
this Power of Attorney shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform any and every act and thing
whatsoever requisite, necessary, or proper to be done in the exercise
of any of the rights and powers herein granted, as fully to all
intents and purposes as the undersigned might or could do if
personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or
such attorney-in-fact's substitute or substitutes, shall lawfully do
or cause to be done by virtue of this Power of Attorney and the rights
and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming, nor is the Company
assuming any of the undersigned's responsibilities to comply with
Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with
respect to the undersigned's holdings of and transactions in securities
issued by the Company, unless earlier revoked by the undersigned in a
signed writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 1st day of February, 2023.
/s/ Santhosh Keshavan
Santhosh Keshavan