[8-K] VOYA FINANCIAL, INC. Reports Material Event

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

8-K

Rhea-AI Filing Summary

Oxford Square Capital Corp. (NASDAQ: OXSQ) has released its 2025 Definitive Proxy Statement ahead of the 20 August 2025 Annual Meeting at its Greenwich, CT headquarters.

Proposals: (1) election of Barry A. Osherow as the sole Class II director (term expiring 2028); (2) ratification of PricewaterhouseCoopers LLP (PwC) as independent auditor for FY-2025.
Board structure: five-member, staggered board; 60% classified as independent. Steven P. Novak continues as Independent Chairman.
Ownership: Directors & officers collectively hold 6.53 million shares (8.6 % of 76.0 million outstanding). CEO Jonathan H. Cohen and affiliated entities own 3.0 %, making him the largest individual insider.
Auditor fees: PwC audit fees declined to $947,995 in 2024 from $1.08 million in 2023; no tax or other fees were incurred.
Compensation: Independent directors earn a base $90,000 plus committee/board chair retainers and meeting fees; no equity awards are granted.
Governance highlights: Four fully independent committees (Audit, Valuation, Nominating & Governance, Compensation) oversee risk, valuation, and advisor oversight. The Investment Advisory Agreement with Oxford Square Management was renewed on 22 April 2025 after the board reviewed fees, performance and adviser profitability.
Quorum & voting: record date 25 June 2025; majority of outstanding shares (38.0 million) required for a quorum. Brokers may vote only on Proposal 2.

The board unanimously recommends voting FOR both proposals. No other substantive matters are scheduled.

Oxford Square Capital Corp. (NASDAQ: OXSQ)電� 2025雲� 8鞗� 20鞚� 攴鸽Μ雼堨箻(旖旊劋韹办环) 氤胳偓鞐愳劀臧滌禍霅橂姅 2025雲� 鞐半 欤检＜齑濏殞毳� 鞎炿憪瓿� 2025雲� 頇曥爼鞙勳瀯鞛� 靹彪獏鞚� 氚滍憸頄堨姷雼堧嫟.

鞝滌晥靷暛: (1) Barry A. Osherow毳� 雼弲 2霌标笁鞚挫偓搿� 靹犾稖(鞛勱赴 2028雲勱箤歆€); (2) 2025 須岅硠鞐半弰霃呺 臧愳偓鞚胳溂搿� PricewaterhouseCoopers LLP(PwC) 鞀轨澑.
鞚挫偓須� 甑“: 5氇呾溂搿� 甑劚霅� 雼硠鞝� 鞛勱赴鞚挫偓須�; 60%臧€ 霃呺 鞚挫偓搿� 攵勲. Steven P. Novak電� 霃呺 鞚挫偓須� 鞚橃灔鞙茧 瓿勳啀鞛瀯欷�.
靻岇湢順勴櫓: 鞚挫偓氚� 鞛勳洂霌れ澊齑� 653毵� 欤�(8.6% / 7600毵� 欤� 欷�)毳� 氤挫湢. CEO Jonathan H. Cohen 氚� 甏€霠� 旮瓣磤鞚€ 3.0% 氤挫湢, 斓滊寑臧滌澑雮措秬鞛愳瀯.
臧愳偓靾橃垬耄�: PwC 臧愳偓靾橃垬耄岆姅 2023雲� 108毵� 雼煬鞐愳劀 2024雲� $947,995搿� 臧愳唽; 靹鸽 氚� 旮绊儉靾橃垬耄岆姅鞐嗢潓.
氤挫垬: 霃呺 鞚挫偓電� 旮半掣 $90,000鞐� 鞙勳洂須�/鞚挫偓須� 鞚橃灔靾橂嫻氚� 須岇潣靾橂嫻於旉皜歆€旮�; 欤检嫕氤挫儊鞚€ 鞐嗢潓.
瓯半矂雱岇姢欤检殧靷暛: 4臧滌潣鞕勳爠霃呺 鞙勳洂須�(臧愳偓, 韽夑皜, 歆€氇� 氚� 瓯半矂雱岇姢, 氤挫儊)臧€ 鞙勴棙, 韽夑皜氚� 鞛愲 臧愲弲鞚� 靾橅枆. Oxford Square Management鞕€鞚� 韴瀽鞛愲 瓿勳暯鞚€ 2025雲� 4鞗� 22鞚� 鞚挫偓須岅皜靾橃垬耄�, 靹标臣氚� 鞛愲 靾橃澋靹膘潉瓴€韱犿暅頉� 臧膘嫚霅�.
鞝曥”靾� 氚� 韴憸: 旮办鞚� 2025雲� 6鞗� 25鞚�; 鞝曥”靾橂姅氚滍枆欤检嫕瓿茧皹靾�(3800毵� 欤�) 頃勳殧. 欷戧皽鞚胳潃鞝滌晥 2鞐� 雽€頃挫劀毵� 韴憸臧€電�.

鞚挫偓須岆姅霊� 鞝滌晥氇憪鞐� 雽€頃� 毵岇灔鞚检箻搿� 彀劚 韴憸毳� 甓岅碃頃╇媹雼�. 雼るジ欷戩殧頃� 鞎堦贝鞚€ 鞓堨爼霅橃柎鞛堨 鞎婌姷雼堧嫟.

Oxford Square Capital Corp. (NASDAQ : OXSQ) a publi茅 sa d茅claration de procuration d茅finitive pour 2025 avant l'assembl茅e annuelle du 20 ao没t 2025 au si猫ge de Greenwich, CT.

Propositions : (1) 茅lection de Barry A. Osherow en tant que seul administrateur de la classe II (mandat expirant en 2028) ; (2) ratification de PricewaterhouseCoopers LLP (PwC) en tant qu'auditeur ind茅pendant pour l'exercice 2025.
Structure du conseil : conseil compos茅 de cinq membres 脿 mandat 茅chelonn茅 ; 60 % sont class茅s comme ind茅pendants. Steven P. Novak demeure pr茅sident ind茅pendant.
Propri茅t茅 : les administrateurs et dirigeants d茅tiennent collectivement 6,53 millions d鈥檃ctions (8,6 % sur 76,0 millions en circulation). Le PDG Jonathan H. Cohen et ses entit茅s affili茅es poss猫dent 3,0 %, faisant de lui le principal initi茅 individuel.
Honoraires de l鈥檃uditeur : les frais d鈥檃udit de PwC ont diminu茅脿 947 995 $ en 2024 contre 1,08 million de dollars en 2023 ; aucun frais fiscaux ou autres n鈥檃茅t茅 engag茅.
R茅mun茅ration : les administrateurs ind茅pendants per莽oivent une r茅mun茅ration de base de 90 000 $ plus des jetons de pr茅sence pour la pr茅sidence des comit茅s/conseil et les r茅unions ; aucune attribution d鈥檃ctions.
Points forts de la gouvernance : quatre comit茅s enti猫rement ind茅pendants (Audit, 脡valuation, Nominations & Gouvernance, R茅mun茅ration) supervisent les risques, l鈥櫭﹙aluation et la surveillance des conseillers. Le contrat de conseil en investissement avec Oxford Square Management a 茅t茅 renouvel茅 le 22 avril 2025 apr猫s examen par le conseil des frais, performances et rentabilit茅 du conseiller.
Quorum & vote : date d鈥檈nregistrement le 25 juin 2025 ; la majorit茅 des actions en circulation (38,0 millions) est requise pour le quorum. Les courtiers ne peuvent voter que sur la proposition 2.

Le conseil recommande 脿 l鈥檜nanimit茅 de voter POUR les deux propositions. Aucune autre question substantielle n鈥檈st pr茅vue.

Insights

TL;DR鈥僐outine proxy with staggered board; independent oversight appears adequate; no material governance red flags.

The filing is a standard annual proxy focused on electing one director and ratifying PwC. A majority-independent board with four fully independent committees satisfies NYSE and 1940 Act requirements. Renewal of the advisory contract followed a detailed review of fee levels, adviser profitability and comparative performance, providing transparency. Auditor fees fell 12 % YoY, signalling modest cost discipline. However, the staggered structure limits annual board accountability and only 8.6 % insider ownership may dilute alignment. Overall governance practices meet prevailing BDC norms and should not materially alter investor risk.

TL;DR鈥僋o market-moving items; proposals are routine and unlikely to impact OXSQ share value.

From a portfolio perspective the proxy contains no changes to dividend policy, leverage targets or investment strategy. The sole director nominee brings middle-market credit experience but does not alter board composition meaningfully. Auditor re-ratification is expected and audit fees remain below 1 % of net assets, posing negligible earnings impact. With no share-based compensation or share-issuance proposals, dilution risk is unchanged. Investors should view this filing as procedural; attention stays on portfolio performance and future distributions rather than governance adjustments.

鞝滌晥靷暛: (1) Barry A. Osherow毳� 雼弲 2霌标笁鞚挫偓搿� 靹犾稖(鞛勱赴 2028雲勱箤歆€); (2) 2025 須岅硠鞐半弰霃呺 臧愳偓鞚胳溂搿� PricewaterhouseCoopers LLP(PwC) 鞀轨澑.
鞚挫偓須� 甑“: 5氇呾溂搿� 甑劚霅� 雼硠鞝� 鞛勱赴鞚挫偓須�; 60%臧€ 霃呺 鞚挫偓搿� 攵勲. Steven P. Novak電� 霃呺 鞚挫偓須� 鞚橃灔鞙茧 瓿勳啀鞛瀯欷�.
靻岇湢順勴櫓: 鞚挫偓氚� 鞛勳洂霌れ澊齑� 653毵� 欤�(8.6% / 7600毵� 欤� 欷�)毳� 氤挫湢. CEO Jonathan H. Cohen 氚� 甏€霠� 旮瓣磤鞚€ 3.0% 氤挫湢, 斓滊寑臧滌澑雮措秬鞛愳瀯.
臧愳偓靾橃垬耄�: PwC 臧愳偓靾橃垬耄岆姅 2023雲� 108毵� 雼煬鞐愳劀 2024雲� $947,995搿� 臧愳唽; 靹鸽 氚� 旮绊儉靾橃垬耄岆姅鞐嗢潓.
氤挫垬: 霃呺 鞚挫偓電� 旮半掣 $90,000鞐� 鞙勳洂須�/鞚挫偓須� 鞚橃灔靾橂嫻氚� 須岇潣靾橂嫻於旉皜歆€旮�; 欤检嫕氤挫儊鞚€ 鞐嗢潓.
瓯半矂雱岇姢欤检殧靷暛: 4臧滌潣鞕勳爠霃呺 鞙勳洂須�(臧愳偓, 韽夑皜, 歆€氇� 氚� 瓯半矂雱岇姢, 氤挫儊)臧€ 鞙勴棙, 韽夑皜氚� 鞛愲 臧愲弲鞚� 靾橅枆. Oxford Square Management鞕€鞚� 韴瀽鞛愲 瓿勳暯鞚€ 2025雲� 4鞗� 22鞚� 鞚挫偓須岅皜靾橃垬耄�, 靹标臣氚� 鞛愲 靾橃澋靹膘潉瓴€韱犿暅頉� 臧膘嫚霅�.
鞝曥”靾� 氚� 韴憸: 旮办鞚� 2025雲� 6鞗� 25鞚�; 鞝曥”靾橂姅氚滍枆欤检嫕瓿茧皹靾�(3800毵� 欤�) 頃勳殧. 欷戧皽鞚胳潃鞝滌晥 2鞐� 雽€頃挫劀毵� 韴憸臧€電�.

Oxford Square Capital Corp. (NASDAQ : OXSQ) a publi茅 sa d茅claration de procuration d茅finitive pour 2025 avant l'assembl茅e annuelle du 20 ao没t 2025 au si猫ge de Greenwich, CT.

Propositions : (1) 茅lection de Barry A. Osherow en tant que seul administrateur de la classe II (mandat expirant en 2028) ; (2) ratification de PricewaterhouseCoopers LLP (PwC) en tant qu'auditeur ind茅pendant pour l'exercice 2025.
Structure du conseil : conseil compos茅 de cinq membres 脿 mandat 茅chelonn茅 ; 60 % sont class茅s comme ind茅pendants. Steven P. Novak demeure pr茅sident ind茅pendant.
Propri茅t茅 : les administrateurs et dirigeants d茅tiennent collectivement 6,53 millions d鈥檃ctions (8,6 % sur 76,0 millions en circulation). Le PDG Jonathan H. Cohen et ses entit茅s affili茅es poss猫dent 3,0 %, faisant de lui le principal initi茅 individuel.
Honoraires de l鈥檃uditeur : les frais d鈥檃udit de PwC ont diminu茅脿 947 995 $ en 2024 contre 1,08 million de dollars en 2023 ; aucun frais fiscaux ou autres n鈥檃茅t茅 engag茅.
R茅mun茅ration : les administrateurs ind茅pendants per莽oivent une r茅mun茅ration de base de 90 000 $ plus des jetons de pr茅sence pour la pr茅sidence des comit茅s/conseil et les r茅unions ; aucune attribution d鈥檃ctions.
Points forts de la gouvernance : quatre comit茅s enti猫rement ind茅pendants (Audit, 脡valuation, Nominations & Gouvernance, R茅mun茅ration) supervisent les risques, l鈥櫭﹙aluation et la surveillance des conseillers. Le contrat de conseil en investissement avec Oxford Square Management a 茅t茅 renouvel茅 le 22 avril 2025 apr猫s examen par le conseil des frais, performances et rentabilit茅 du conseiller.
Quorum & vote : date d鈥檈nregistrement le 25 juin 2025 ; la majorit茅 des actions en circulation (38,0 millions) est requise pour le quorum. Les courtiers ne peuvent voter que sur la proposition 2.

Le conseil recommande 脿 l鈥檜nanimit茅 de voter POUR les deux propositions. Aucune autre question substantielle n鈥檈st pr茅vue.

07/08/2025 - 04:17 PM

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):

July 8, 2025

VOYA FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

Delaware

001-35897

No.

52-1222820

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification Number)

200 Park Avenue

New York

10166

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (212) 309-8200

N/A

(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))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class	Trading symbol	Name of each exchange on which registered
Common Stock, $.01 Par Value	VOYA	New York Stock Exchange
Depositary Shares, each representing a 1/40th	VOYAPrB	New York Stock Exchange
interest in a share of 5.35% Fixed-Rate Non-Cumulative Preferred Stock, Series B, $0.01 par value

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. ☐

Item 7.01 Regulation FD Disclosure

Voya Financial, Inc. (the "Company", "we" and "our") is furnishing this Current Report on Form 8-K to disclose alternative investment income above (below) long-term expectations prior to the availability of the Company’s quarterly earnings release and quarterly financial supplement for the quarter ended June 30, 2025, scheduled for release on August 5, 2025.

For the second quarter 2025, the Company's alternative investment income is estimated to be approximately $45 million - $55 million (pre-tax), which is approximately $5 million below - $5 million above our long-term expectations, before variable and incentive compensation. Included in these figures is alternative investment income in our general account and investment capital returns in our Investment Management segment.

The long-term expectation for alternative investments is a 9% annual return.

The preliminary financial results presented above are the responsibility of management and have been prepared in good faith on a consistent basis with prior periods. However, we have not completed our financial closing procedures for the three months and six months ended June 30, 2025, and our actual results could be materially different from these preliminary financial results. In addition, Ernst & Young LLP, our independent registered public accounting firm, has not audited, reviewed, compiled, or performed any procedures with respect to these preliminary financial results and does not express an opinion or any other form of assurance with respect to these preliminary financial results or their achievability. During the course of the preparation of our consolidated financial statements and related notes as of and for the three months and six months ended June 30, 2025, we may identify items that would require us to make material adjustments to the preliminary financial results presented above. As a result, prospective investors should exercise caution in relying on this information and should not draw any inferences from this information regarding financial or operating data not provided. These preliminary financial results should not be viewed as a substitute for full financial statements prepared in accordance with U.S. GAAP. In addition, these preliminary financial results are not necessarily indicative of the results to be achieved in any future period.

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.

SIGNATURES

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.

(Registrant)

By: /s/ Julie Watson

Name: Julie Watson

Title: Vice President, Counsel and Corporate Secretary

Dated: July 8, 2025

Source:

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