# EDGAR Filing Document

**Accession Number:** 0001535929
**File Stem:** 0001127602-23-006955
**Filing Date:** 2023-2
**Character Count:** 9853
**Document Hash:** 82e8100d967d9a36d12b9cea7274ce08
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-006955.hdr.sgml**: 20230224

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ogle Trevor<br><sub>(Last) (First) (Middle)</sub><br>230 PARK AVENUE<br><sub>(Street)</sub><br>NEW YORK, NY 10169<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Voya Financial, Inc. [ VOYA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-20 | 2023-02-21 | M |  | 3678 | A | 0<sup>(1)</sup> | 3845 | D |  |
| Common Stock | 2023-02-20 | 2023-02-21 | F |  | 1327 | D | $74.44 | 2518 | D |  |
| Common Stock | 2023-02-20 | 2023-02-21 | M |  | 1585 | A | 0<sup>(1)</sup> | 4103 | D |  |
| Common Stock | 2023-02-20 | 2023-02-21 | F |  | 609 | D | $74.44 | 3494 | D |  |
| Common Stock | 2023-02-21 |  | M |  | 2462 | A | 0<sup>(1)</sup> | 5956 | D |  |
| Common Stock | 2023-02-21 |  | F |  | 888 | D | $74.44 | 5068 | D |  |
| Common Stock | 2023-02-22 |  | M |  | 2039 | A | 0<sup>(1)</sup> | 7107 | D |  |
| Common Stock | 2023-02-22 |  | F |  | 736 | D | $73.34 | 6371 | D |  |
| Common Stock | 2023-02-22 |  | S |  | 4901<sup>(2)</sup> | D | 74.047<sup>(3)</sup> | 1470 | D |  |
| Common Stock | 2023-02-23 |  | S |  | 1303<sup>(2)</sup> | D | $73.47 | 167<sup>(4)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 5462.7373<sup>(5)</sup> | I | By 401(k) Plan |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Stock Unit | <sup>(6)</sup> | 2023-02-20 | 2023-02-21 | M |  |  | 3678 | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 3678 | $0 | 28354 | D |  |
| Restricted Stock Units | <sup>(7)</sup> | 2023-02-20 | 2023-02-21 | M |  |  | 1585 | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 1585 | $0 | 15709 | D |  |
| Restricted Stock Units | <sup>(7)</sup> | 2023-02-21 |  | M |  |  | 2462 | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 2462 | $0 | 13247 | D |  |
| Restricted Stock Units | <sup>(7)</sup> | 2023-02-22 |  | M |  |  | 2039 | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 2039 | $0 | 11208 | D |  |
| Performance Stock Unit | <sup>(8)</sup> | 2023-02-22 |  | A |  | 12145 |  | <sup>(9)</sup> | <sup>(9)</sup> | Common Stock | 12145 | $0 | 40499 | D |  |
| Restricted Stock Units | <sup>(8)</sup> | 2023-02-22 |  | A |  | 9940 |  | <sup>(10)</sup> | <sup>(10)</sup> | Common Stock | 9940 | $0 | 21148 | D |  |
| Performance-Based Stock Options | <sup>(11)</sup> |  |  |  |  |  |  | <sup>(11)</sup> | <sup>(11)</sup> | Common Stock | 12500 |  | 12500 | D |  |

---

### Footnotes:

(1) 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.

(2) 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.

(3) 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.

(4) 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.

(5) Includes automatic semi-monthly contributions to the reporting person's 401(k).

(6) The performance stock units were awarded as compensation and convert to common stock based on the achievement of certain performance factors.

(7) The restricted stock units were awarded as compensation and convert to common stock on a 1 to 1 basis upon the vesting date.

(8) The stock units will vest based on their respective award agreements.

(9) 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.

(10) 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.

(11) The options vest based on conditions set forth in their respective agreements.

**Remarks:**
Executive Vice President, Chief Strategy, M&A Corporate Transactions Officer

**Signature:** /s/ My Chi To, Attorney-in-Fact  
**Date:** 2023-02-23

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**