SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
October 24, 2018
VOYA FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification Number)
230 Park Avenue
New York, New York
(Address of principal executive offices)
Registrant’s telephone number, including area code: (212) 309-8200
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Regulation FD Disclosure
Voya Financial, Inc. (the “Company”) is furnishing this Current Report on Form 8-K to disclose the assets under management (“AUM”) of its Investment Management (“IM”) segment prior to the availability of the Company’s quarterly earnings release and quarterly financial supplement for the quarter ended September 30, 2018, scheduled for release on October 30, 2018.
As of September 30, 2018, AUM of the Company’s IM segment was $210 billion. AUM as of September 30, 2018 included $89 billion of IM-sourced external client assets, $38 billion of affiliate-sourced external client assets, $27 billion of variable annuity-sourced external client assets and $56 billion of Company general account assets. External client assets are reported on a market value basis. General account assets are reported on a statutory book value billing basis consistent with revenues earned. On a market value basis, general account assets were $58 billion as of September 30, 2018.
As provided in General Instruction B.2 of Form 8-K, the information provided pursuant to this Item 7.01 shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Voya Financial, Inc.
By: /s/ Trevor Ogle
Name: Trevor Ogle
Senior Vice President and
Deputy General Counsel
Dated: October 24, 2018