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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
Oct 202600

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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
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 1,062 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015234 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,354

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, 2017 Filed Feb 28, 2017 16:08 UTC Amendment
McKay Scott JEVP- Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015240 · doc4a.xml · derivative · entry 6

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 16:08 UTC Amendment
McKay Scott JEVP- Chief Strategy Officer
Tax withholdingClass A Common Stock 3,235 $4.01 $12,972.35
Disclosure

SEC source: 0001209191-17-015240 · doc4a.xml · nonDerivative · entry 2

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,224

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 16:08 UTC Amendment
McKay Scott JEVP- Chief Strategy Officer
Exercise / conversionClass A Common Stock 10,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015240 · doc4a.xml · nonDerivative · entry 1

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,459

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, 2017 Filed Feb 28, 2017 16:07 UTC Amendment
Laming Michael SEVP - Human Resources
Exercise / conversionRestricted Stock Units · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015237 · doc4a.xml · derivative · entry 8

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,666

Underlying: Class A Common Stock · 11,667 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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 16:07 UTC Amendment
Laming Michael SEVP - Human Resources
Tax withholdingClass A Common Stock 3,588 $4.01 $14,387.88
Disclosure

SEC source: 0001209191-17-015237 · doc4a.xml · nonDerivative · entry 2

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,652

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 16:07 UTC Amendment
Laming Michael SEVP - Human Resources
Exercise / conversionClass A Common Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015237 · doc4a.xml · nonDerivative · entry 1

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,240

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, 2017 Filed Feb 28, 2017 21:09 UTC Amendment
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionRestricted Stock Units · Derivative 51,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015247 · doc4a.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,666

Underlying: Class A Common Stock · 51,667 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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:09 UTC Amendment
Sheehan Daniel J IVEVP - Chief Investment Officer
Tax withholdingClass A Common Stock 25,286 $4.01 $101,396.86
Disclosure

SEC source: 0001209191-17-015247 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,005

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:09 UTC Amendment
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionClass A Common Stock 51,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015247 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,291

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, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015233 · doc4a.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,666

Underlying: Class A Common Stock · 11,667 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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
EVANGEL LORI MEVP & Chief Risk Officer
Tax withholdingClass A Common Stock 3,862 $4.01 $15,486.62
Disclosure

SEC source: 0001209191-17-015233 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,993

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionClass A Common Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015233 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,855

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, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 8,333 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 1,350 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,350

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.

F5 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

F5 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 2,759 $4.01 $11,063.59
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,127

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 8,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,886

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, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 447 $4.01 $1,792.47
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,553

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, 2017.

Read SEC document
February 20, 2017 Filed Feb 28, 2017 21:06 UTC Amendment
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 1,350 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-015229 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

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 18, 2017 Filed Feb 21, 2017 22:09 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 121,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012781 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,333

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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:09 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Tax withholdingClass A Common Stock 57,852 $4.01 $231,986.52
Disclosure

SEC source: 0001209191-17-012781 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,272

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:09 UTC
Schneider Kevin DouglasEVP & Chief Operating Officer
Exercise / conversionClass A Common Stock 121,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012781 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,124

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 18, 2017 Filed Feb 21, 2017 17:08 UTC
McKay Scott JEVP- Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012780 · doc4.xml · derivative · entry 6

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 17:08 UTC
McKay Scott JEVP- Chief Strategy Officer
Tax withholdingClass A Common Stock 10,916 $4.01 $43,773.16
Disclosure

SEC source: 0001209191-17-012780 · doc4.xml · nonDerivative · entry 2

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,543

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 17:08 UTC
McKay Scott JEVP- Chief Strategy Officer
Exercise / conversionClass A Common Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012780 · doc4.xml · nonDerivative · entry 1

McKay Scott J · CIK 0001290714 · EVP- Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,459

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 18, 2017 Filed Feb 21, 2017 17:14 UTC
Laming Michael SEVP - Human Resources
Exercise / conversionRestricted Stock Units · Derivative 38,334 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012790 · doc4.xml · derivative · entry 8

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,666

Underlying: Class A Common Stock · 38,334 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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 17:14 UTC
Laming Michael SEVP - Human Resources
Tax withholdingClass A Common Stock 13,294 $4.01 $53,308.94
Disclosure

SEC source: 0001209191-17-012790 · doc4.xml · nonDerivative · entry 2

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,613

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 17:14 UTC
Laming Michael SEVP - Human Resources
Exercise / conversionClass A Common Stock 38,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012790 · doc4.xml · nonDerivative · entry 1

Laming Michael S · CIK 0001290227 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,907

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 18, 2017 Filed Feb 21, 2017 22:09 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionRestricted Stock Units · Derivative 91,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012782 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,333

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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:09 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Tax withholdingClass A Common Stock 44,862 $4.01 $179,896.62
Disclosure

SEC source: 0001209191-17-012782 · 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: 136,429

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:09 UTC
Sheehan Daniel J IVEVP - Chief Investment Officer
Exercise / conversionClass A Common Stock 91,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012782 · 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: 181,291

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 18, 2017 Filed Feb 21, 2017 22:08 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 60,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012778 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:08 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Tax withholdingClass A Common Stock 20,397 $4.01 $81,791.97
Disclosure

SEC source: 0001209191-17-012778 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,895

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:08 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012778 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,292

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 18, 2017 Filed Feb 21, 2017 22:06 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 38,334 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012774 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,666

Underlying: Class A Common Stock · 38,334 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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:06 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Tax withholdingClass A Common Stock 13,408 $4.01 $53,766.08
Disclosure

SEC source: 0001209191-17-012774 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,114

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:06 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionClass A Common Stock 38,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012774 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,522

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 18, 2017 Filed Feb 21, 2017 22:06 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-012773 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

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.

F4 · derivative.exercise_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

F4 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.

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February 18, 2017 Filed Feb 21, 2017 22:06 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 9,930 $4.01 $39,819.30
Disclosure

SEC source: 0001209191-17-012773 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,720

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 18, 2017.

Read SEC document
February 18, 2017 Filed Feb 21, 2017 22:06 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012773 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,650

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 15, 2017 Filed Feb 16, 2017 17:25 UTC
Farney Matthew DVice President and Controller
Exercise / conversionRestricted Stock Units · Derivative 1,225 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-011601 · 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 · 1,225 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 15, 2017.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 15, 2017.

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February 15, 2017 Filed Feb 16, 2017 17:25 UTC
Farney Matthew DVice President and Controller
Tax withholdingClass A Common Stock 471 $3.80 $1,789.80
Disclosure

SEC source: 0001209191-17-011601 · doc4.xml · nonDerivative · entry 2

Farney Matthew D · CIK 0001672491 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,093

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 15, 2017.

Read SEC document
February 15, 2017 Filed Feb 16, 2017 17:25 UTC
Farney Matthew DVice President and Controller
Exercise / conversionClass A Common Stock 1,225 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-011601 · doc4.xml · nonDerivative · entry 1

Farney Matthew D · CIK 0001672491 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,564

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 15, 2017 Filed Feb 16, 2017 22:25 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 2,887 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-011603 · 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 · 2,887 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 15, 2017.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 15, 2017.

Read SEC document
February 15, 2017 Filed Feb 16, 2017 22:25 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Tax withholdingClass A Common Stock 1,109 $3.80 $4,214.20
Disclosure

SEC source: 0001209191-17-011603 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,292

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 15, 2017.

Read SEC document
February 15, 2017 Filed Feb 16, 2017 22:25 UTC
TUMINELLI KELLY LEVP & Chief Financial Officer
Exercise / conversionClass A Common Stock 2,887 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-011603 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,401

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 15, 2017 Filed Feb 16, 2017 22:25 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 1,887 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-011600 · doc4.xml · derivative · entry 4

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 · 1,887 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 15, 2017.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 15, 2017.

Read SEC document
February 15, 2017 Filed Feb 16, 2017 22:25 UTC
Bobitz Ward E.EVP and General Counsel
Tax withholdingClass A Common Stock 625 $3.80 $2,375.00
Disclosure

SEC source: 0001209191-17-011600 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,650

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 15, 2017.

Read SEC document
February 15, 2017 Filed Feb 16, 2017 22:25 UTC
Bobitz Ward E.EVP and General Counsel
Exercise / conversionClass A Common Stock 1,887 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-011600 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,274

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, 2017 Filed Feb 6, 2017 22:11 UTC
EVANGEL LORI MEVP & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 1,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-008067 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,625

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, 2017.

F3 · derivative.expiration_date: Restricted Stock Units vested and converted to Class A Common Stock on February 3, 2017.

Read SEC document

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