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