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GNW

GENWORTH FINANCIAL INC

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4085
SEC CIK
0001276520
Parsed reports
528

Last 12 months

Inside the activity.

0 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202602
Jun 202600
Jul 202600
Aug 202602
Sep 202601
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 15, 2018 Filed Mar 16, 2018 20:19 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionClass A Common Stock 67,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-020172 · doc4.xml · nonDerivative · entry 1

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,055

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:17 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 44,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020168 · doc4.xml · derivative · entry 4

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,333

Underlying: Class A Common Stock · 44,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:17 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Tax withholdingClass A Common Stock 20,145 $2.94 $59,226.30
Disclosure

SEC source: 0001209191-18-020168 · doc4.xml · nonDerivative · entry 2

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,962

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:17 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 44,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-020168 · doc4.xml · nonDerivative · entry 1

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,107

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:18 UTC
McInerney Thomas JDirector · President and CEO; Director
Exercise / conversionRestricted Stock Units · Derivative 184,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020170 · doc4.xml · derivative · entry 3

McInerney Thomas J · CIK 0001321272 · Director · President and CEO; Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,333

Underlying: Class A Common Stock · 184,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:18 UTC
McInerney Thomas JDirector · President and CEO; Director
Tax withholdingClass A Common Stock 83,285 $2.94 $244,857.90
Disclosure

SEC source: 0001209191-18-020170 · doc4.xml · nonDerivative · entry 2

McInerney Thomas J · CIK 0001321272 · Director · President and CEO; Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,984

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:18 UTC
McInerney Thomas JDirector · President and CEO; Director
Exercise / conversionClass A Common Stock 184,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-020170 · doc4.xml · nonDerivative · entry 1

McInerney Thomas J · CIK 0001321272 · Director · President and CEO; Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,269

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 28,334 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020167 · doc4.xml · derivative · entry 3

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,666

Underlying: Class A Common Stock · 28,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Tax withholdingClass A Common Stock 8,529 $2.94 $25,075.26
Disclosure

SEC source: 0001209191-18-020167 · doc4.xml · nonDerivative · entry 2

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,857

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionClass A Common Stock 28,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-020167 · doc4.xml · nonDerivative · entry 1

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,386

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 28,334 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020165 · doc4.xml · derivative · entry 4

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,666

Underlying: Class A Common Stock · 28,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 8,529 $2.94 $25,075.26
Disclosure

SEC source: 0001209191-18-020165 · doc4.xml · nonDerivative · entry 2

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,000

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on March 15, 2018.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 20:16 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 28,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-020165 · doc4.xml · nonDerivative · entry 1

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,529

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 121,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-013336 · doc4.xml · derivative · entry 3

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,666

Underlying: Class A Common Stock · 121,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Tax withholdingClass A Common Stock 54,689 $2.88 $157,504.32
Disclosure

SEC source: 0001209191-18-013336 · doc4.xml · nonDerivative · entry 2

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,917

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionClass A Common Stock 121,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-013336 · doc4.xml · nonDerivative · entry 1

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,606

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:17 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionRestricted Stock Units · Derivative 91,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-013339 · doc4.xml · derivative · entry 3

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,666

Underlying: Class A Common Stock · 91,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:17 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Tax withholdingClass A Common Stock 42,479 $2.88 $122,339.52
Disclosure

SEC source: 0001209191-18-013339 · doc4.xml · nonDerivative · entry 2

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,721

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:17 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionClass A Common Stock 91,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-013339 · doc4.xml · nonDerivative · entry 1

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,200

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 60,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-013333 · doc4.xml · derivative · entry 4

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Class A Common Stock · 60,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Tax withholdingClass A Common Stock 18,475 $2.88 $53,208.00
Disclosure

SEC source: 0001209191-18-013333 · doc4.xml · nonDerivative · entry 2

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,440

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-013333 · doc4.xml · nonDerivative · entry 1

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,915

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 38,333 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-013330 · doc4.xml · derivative · entry 3

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,333

Underlying: Class A Common Stock · 38,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Tax withholdingClass A Common Stock 11,630 $2.88 $33,494.40
Disclosure

SEC source: 0001209191-18-013330 · doc4.xml · nonDerivative · entry 2

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,052

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:16 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionClass A Common Stock 38,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-013330 · doc4.xml · nonDerivative · entry 1

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,682

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:15 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-013328 · doc4.xml · derivative · entry 4

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:15 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 9,257 $2.88 $26,660.16
Disclosure

SEC source: 0001209191-18-013328 · doc4.xml · nonDerivative · entry 2

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,195

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2018.

Read SEC document
February 25, 2018 Filed Feb 26, 2018 21:15 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-013328 · doc4.xml · nonDerivative · entry 1

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,452

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 16:28 UTC
Farney Matthew DVice President and Controller
Exercise / conversionRestricted Stock Units · Derivative 450 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011923 · doc4.xml · derivative · entry 3

Farney Matthew D · CIK 0001672491 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 450 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 16:28 UTC
Farney Matthew DVice President and Controller
Tax withholdingClass A Common Stock 160 $2.96 $473.60
Disclosure

SEC source: 0001209191-18-011923 · doc4.xml · nonDerivative · entry 2

Farney Matthew D · CIK 0001672491 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,660

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 16:28 UTC
Farney Matthew DVice President and Controller
Exercise / conversionClass A Common Stock 450 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011923 · doc4.xml · nonDerivative · entry 1

Farney Matthew D · CIK 0001672491 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,820

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:29 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 26,666 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011931 · doc4.xml · derivative · entry 3

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 26,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:29 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Tax withholdingClass A Common Stock 11,986 $2.96 $35,478.56
Disclosure

SEC source: 0001209191-18-011931 · doc4.xml · nonDerivative · entry 2

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,939

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:29 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionClass A Common Stock 26,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011931 · doc4.xml · nonDerivative · entry 1

Schneider Kevin Douglas · CIK 0001438566 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,925

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:30 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionRestricted Stock Units · Derivative 51,666 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011933 · doc4.xml · derivative · entry 3

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 51,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:30 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Tax withholdingClass A Common Stock 23,943 $2.96 $70,871.28
Disclosure

SEC source: 0001209191-18-011933 · doc4.xml · nonDerivative · entry 2

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,533

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:30 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionClass A Common Stock 51,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011933 · doc4.xml · nonDerivative · entry 1

Sheehan Daniel J IV · CIK 0001549067 · EVP - Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,476

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

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February 20, 2018 Filed Feb 21, 2018 21:28 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,062 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011928 · doc4.xml · derivative · entry 4

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,062 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

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February 20, 2018 Filed Feb 21, 2018 21:28 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Tax withholdingClass A Common Stock 376 $2.96 $1,112.96
Disclosure

SEC source: 0001209191-18-011928 · doc4.xml · nonDerivative · entry 2

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,915

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

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February 20, 2018 Filed Feb 21, 2018 21:28 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 1,062 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011928 · doc4.xml · nonDerivative · entry 1

Groh Kelly L · CIK 0001549864 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,291

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 8,333 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · derivative · entry 7

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 8,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 1,350 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · derivative · entry 6

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,350 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 2,950 $2.96 $8,732.00
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · nonDerivative · entry 4

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,452

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 8,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · nonDerivative · entry 3

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,402

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 478 $2.96 $1,414.88
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · nonDerivative · entry 2

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,069

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:26 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 1,350 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011917 · doc4.xml · nonDerivative · entry 1

Bobitz Ward E. · CIK 0001632018 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,547

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:27 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 11,666 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-011921 · doc4.xml · derivative · entry 3

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 11,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:27 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Tax withholdingClass A Common Stock 4,130 $2.96 $12,224.80
Disclosure

SEC source: 0001209191-18-011921 · doc4.xml · nonDerivative · entry 2

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,349

F2 · shares: The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 20, 2018.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 21:27 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionClass A Common Stock 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-011921 · doc4.xml · nonDerivative · entry 1

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,479

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

Read SEC document
February 03, 2018 Filed Feb 5, 2018 21:21 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 1,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-007471 · doc4.xml · derivative · entry 3

EVANGEL LORI M · CIK 0001596836 · EVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,625 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.

F3 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 3, 2018.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 3, 2018.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.