0001127602-23-006955.txt : 20230224
0001127602-23-006955.hdr.sgml : 20230224
20230224083653
ACCESSION NUMBER: 0001127602-23-006955
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230220
FILED AS OF DATE: 20230224
DATE AS OF CHANGE: 20230224
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ogle Trevor
CENTRAL INDEX KEY: 0001947110
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35897
FILM NUMBER: 23662555
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
0001947110
Ogle Trevor
230 PARK AVENUE
NEW YORK
NY
10169
1
See Remarks
Common Stock
2023-02-20
2023-02-21
4
M
0
3678
0
A
3845
D
Common Stock
2023-02-20
2023-02-21
4
F
0
1327
74.44
D
2518
D
Common Stock
2023-02-20
2023-02-21
4
M
0
1585
0
A
4103
D
Common Stock
2023-02-20
2023-02-21
4
F
0
609
74.44
D
3494
D
Common Stock
2023-02-21
4
M
0
2462
0
A
5956
D
Common Stock
2023-02-21
4
F
0
888
74.44
D
5068
D
Common Stock
2023-02-22
4
M
0
2039
0
A
7107
D
Common Stock
2023-02-22
4
F
0
736
73.34
D
6371
D
Common Stock
2023-02-22
4
S
0
4901
74.047
D
1470
D
Common Stock
2023-02-23
4
S
0
1303
73.47
D
167
D
Common Stock
5462.7373
I
By 401(k) Plan
Performance Stock Unit
2023-02-20
2023-02-21
4
M
0
3678
0
D
Common Stock
3678
28354
D
Restricted Stock Units
2023-02-20
2023-02-21
4
M
0
1585
0
D
Common Stock
1585
15709
D
Restricted Stock Units
2023-02-21
4
M
0
2462
0
D
Common Stock
2462
13247
D
Restricted Stock Units
2023-02-22
4
M
0
2039
0
D
Common Stock
2039
11208
D
Performance Stock Unit
2023-02-22
4
A
0
12145
0
A
Common Stock
12145
40499
D
Restricted Stock Units
2023-02-22
4
A
0
9940
0
A
Common Stock
9940
21148
D
Performance-Based Stock Options
Common Stock
12500
12500
D
Delivery of the 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 sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 9, 2022.
This transaction was executed in multiple trades at prices ranging from $73.65 to $74.45. 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 separate price.
The reporting person's Form 4, filed 10/31/2022, erroneously reported that 5,206 of the reporting person's vested shares were withheld to pay taxes. The number of shares actually withheld was 5,039. As a result, the reporting person owned 4,071 shares as of 10/28/2022. Additionally, on November 3, 2022, the reporting person sold 3,904 of the shares related to the Form 4 filed on 10/31/2022. See the reporting person's Form 4, filed 11/04/2022. The figure in Column 5 reflects the 167 held by the reporting person as of 11/03/2022.
Includes automatic semi-monthly contributions to the reporting person's 401(k).
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 convert to common stock on a 1 to 1 basis upon the vesting date.
The stock units will vest based on their respective award agreements.
The number of common stock that will be delivered for each performance 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 conditions set forth in their respective agreements.
Executive Vice President, Chief Strategy, M&A Corporate Transactions Officer
/s/ My Chi To, Attorney-in-Fact
2023-02-23