Voya Financial Inc SEC Filings

Voya Financial (VOYA) reported an insider equity change. On 10/24/2025, an officer received 1,018 shares of common stock via code M from vested restricted stock units, and 301 shares were withheld for taxes via code F at $73.54 per share. Following these transactions, the officer directly holds 717 common shares.

Derivative holdings reported include 10,000 restricted stock units and 10,594 performance stock units, which convert to common stock pursuant to their terms.

Bank of New York Mellon Corporation filed an amended Schedule 13G reporting passive beneficial ownership of 6,516,879 shares of Voya Financial (VOYA) common stock, representing 6.8% of the class as of 09/30/2025.

Reported powers include sole voting of 6,424,110 shares and shared voting of 19,134; sole dispositive power over 4,153,166 and shared dispositive power over 2,363,713. Subsidiaries BNY Mellon IHC, LLC and MBC Investments Corp each report 5,188,504 shares (5.4%). Holdings are in various fiduciary capacities, and the filing certifies they were acquired in the ordinary course and not to influence control.

Voya Financial (VOYA) furnished a Regulation FD update on Investment Management AUM. As of September 30, 2025, preliminary AUM was approximately $366 billion. By asset type, this included $107 billion in equity, $154 billion in fixed income – public, $86 billion in fixed income – private, $16 billion in alternatives, and $3 billion in money market assets.

AUM by client category included $173 billion of Institutional external client assets, $156 billion of Retail external client assets, and $37 billion of Company general account assets. External client assets are reported primarily at market value, while general account assets are reported on a statutory book value basis. The company scheduled its quarterly earnings release for November 4, 2025.

Voya Financial, Inc. is providing preliminary alternative investment income for Q3 2025 ahead of its full quarterly release on November 4, 2025. Management estimates combined alternative investment income of approximately $55 million to $65 million (pre-tax), before variable and incentive compensation, with the midpoint implying a quarterly return of 2.6% and an annualized return of 10.6%. The figure includes income from the general account and investment capital returns in the Investment Management segment. These results are preliminary, unaudited, and subject to completion of financial close and possible material adjustments; the independent auditor has not performed any procedures on these estimates. Management cautions that actual results could differ materially and that these preliminary numbers are not a substitute for final U.S. GAAP financial statements.

Thompson Brannigan C, Executive Vice President and Chief Human Resources Officer of Voya Financial (VOYA), reported transactions on 08/18/2025. 1,644 restricted stock units vested and converted 1:1 into common shares that were delivered without payment. The reporting person sold 739 shares at $73.91. After these transactions, the reporting person beneficially owned 8,478 common shares (direct), plus 17,500 performance stock units and 3,617 performance-based stock options, all held in a direct form. The Form 4 was signed by an attorney-in-fact on 08/20/2025.

Trevor Ogle, Executive Vice President and Chief Legal Officer of Voya Financial (VOYA), reported transactions on 08/15/2025 made under a Rule 10b5-1 plan adopted on September 16, 2024. He acquired 12,500 shares (reported as an option execution) at an indicated price of $37.60, and sold 13,832 shares at $75.00, leaving 7,238 shares directly owned after the sale. The filing shows indirect ownership of 6,383.3541 shares through a 401(k) plan and beneficial ownership of various equity awards: 12,500 performance-based options, 49,315 performance stock units, and 18,015 restricted stock units. The Form 4 was signed by an attorney-in-fact on behalf of Mr. Ogle on 08/19/2025.

Lynne Biggar, a director of Voya Financial (VOYA), reported equity awards and a purchase under director compensation arrangements executed on 08/14/2025. The filing shows an acquisition of 196 shares of common stock at $74.96 under transaction code M, and total direct beneficial ownership of 16,588 shares after the transaction. The report also discloses 8,409 restricted stock units and 392.422 deferred fee plan issuer stock units, the latter including a dividend credit of 3.745 shares. The deferred units reflect rights to cash value tied to one share per unit payable upon separation or an earlier elected in-service date.

The filing reflects routine director compensation through the Amended and Restated Director Deferred Fee Plan and outstanding equity awards rather than a market purchase outside of a compensation plan. All holdings are reported as direct beneficial ownership.

Form 144 notice for VOYA FINANCIAL, INC. The filer notifies intent to sell 13,832 common shares through Morgan Stanley Smith Barney on the NYSE with an aggregate market value of $1,037,400.00. The filing shows the securities were acquired in two tranches: 1,332 performance shares acquired on 07/01/2024 and 12,500 from a stock option exercise with payment in cash on 08/15/2025. The number of shares outstanding for the issuer is listed as 96,417,788. The filer certifies they do not possess undisclosed material adverse information and includes the standard signature and criminal penalties notice.