SEC Form 4 · accession 0001127602-18-008234

Voya Financial, Inc. · VOYA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — See Remarks

Period of report

Feb 21, 2018

Accepted (ET)

Feb 23, 2018 · 9:06 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001535929

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Feb 22, 2018	M	901	—	A	1,620	D
Common Stock	Feb 23, 2018	F	394	$50.865	D	1,226	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F3	—	Feb 21, 2018	A	2,395	A	—	—	Common Stock	2,395	7,438	D
Performance Stock Unit^F2,F4	—	Feb 21, 2018	A	1,860	A	—	—	Common Stock	1,860	7,027	D
Restricted Stock Units^F5	—	Feb 22, 2018	M	901	D	—	—	Common Stock	901	6,537	D

F1Delivery 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.
F2Each stock unit represents a conditional right to receive one share of the company's common stock.
F31/3 of the restricted stock units will vest on February 21, 2019, 1/3 on February 21, 2020 and 1/3 on February 21, 2021.
F4The 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 21, 2021) can range from 0% to 150% of the number presented above.
F5The restricted stock units were awarded as compensation and converted to common stock on a 1 to 1 basis upon the vesting date.

Chief Accounting Officer and Controller