Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GENWORTH FINANCIAL INCGNW · Entity 4085 | Director | March 31, 2021 | April 01, 2021 |
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Director | March 31, 2020 | April 02, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GENWORTH FINANCIAL INC
Report date March 31, 2021 · Filed April 01, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 476,442.954 |
Reported balance
After 2021-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-31 · Grant · Acquired 19,387.302 · Balance 476,442.954 F1: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F2: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee and was based on a price of $3.3785 per share of Class A Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years.
F2: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee and was based on a price of $3.3785 per share of Class A Common Stock.
LPL Financial Holdings Inc.
Report date March 31, 2020 · Filed April 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 95,258 |
Ending reported balance
After 2020-03-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-03-31 · Grant · Acquired 9 · Balance 95,214 F1: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 5, 2020. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Row 2 · 2020-03-31 · Grant · Acquired 44 · Balance 95,258 F2: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Stone Barn LLC | 35,971 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 35,971 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 5, 2020. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
F2: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 27, 2017 Filed Nov 29, 2017 17:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000198 · wf-form4_151199510744835.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,721 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:18 UTC | GENWORTH FINANCIAL INC GNW · Entity 4085 | GrantDeferred Stock Units · Derivative | 17,129.199 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-054607 · doc4.xml · derivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,773.1011 Underlying: Class A Common Stock · 17,129.199 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F2 · price: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee and was based on a price of $3.7655 per share of Class A Common Stock. F1 · derivative.exercise_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F1 · derivative.expiration_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. Read SEC document |
| August 24, 2017 Filed Aug 28, 2017 21:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000170 · wf-form4_150397030815027.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,696 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 16:13 UTC | GENWORTH FINANCIAL INC GNW · Entity 4085 | GrantDeferred Stock Units · Derivative | 17,577.327 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-043280 · doc4.xml · derivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,643.9021 Underlying: Class A Common Stock · 17,577.327 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F2 · price: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee and was based on a price of $3.6695 per share of Class A Common Stock. F1 · derivative.exercise_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F1 · derivative.expiration_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. Read SEC document |
| May 25, 2017 Filed May 30, 2017 17:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 33 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000141 · wf-form4_149618132252553.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,668 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 18, 2017 Filed May 22, 2017 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000133 · wf-form4_149550397364631.xml · nonDerivative · entry 2 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,635 F2 · shares: The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 18, 2017 Filed May 22, 2017 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000133 · wf-form4_149550397364631.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,667 F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 18, 2018. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 16:11 UTC | GENWORTH FINANCIAL INC GNW · Entity 4085 | GrantDeferred Stock Units · Derivative | 16,010.923 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-024705 · doc4.xml · derivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,066.5751 Underlying: Class A Common Stock · 16,010.923 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F2 · price: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee for service as a director and as Non-Executive Chairman and was based on a price of $4.0285 per share of Class A Common Stock. F1 · derivative.exercise_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F1 · derivative.expiration_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. Read SEC document |
| March 24, 2017 Filed Mar 28, 2017 20:26 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000091 · wf-form4_149074715860454.xml · nonDerivative · entry 2 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,468 F2 · shares: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| March 24, 2017 Filed Mar 28, 2017 20:26 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000091 · wf-form4_149074715860454.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,457 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 11, 2017. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy). The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| December 14, 2016 Filed Dec 17, 2016 00:26 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-16-000372 · wf-form4_148193440535516.xml · nonDerivative · entry 2 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,435 F2 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| December 14, 2016 Filed Dec 17, 2016 00:26 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,468 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-16-000372 · wf-form4_148193440535516.xml · nonDerivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,701 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 16:21 UTC | GENWORTH FINANCIAL INC GNW · Entity 4085 | GrantDeferred Stock Units · Derivative | 11,976.133 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-143609 · doc4.xml · derivative · entry 1 RIEPE JAMES S · CIK 0001203072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,055.6521 Underlying: Class A Common Stock · 11,976.133 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F2 · price: The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee for service as a director and as Non-Executive Chairman and was based on a price of $4.88 per share of Class A Common Stock. F1 · derivative.exercise_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. F1 · derivative.expiration_date: Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years. 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.