Form 4 for GNW GENWORTH FINANCIAL INC
Accepted 2023-04-10 00:00:00 ET · period of report 2023-04-06 · accession 0001209191-23-023897 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-04-10 | 2023-04-06 | GNW | Upton Jerome T | EVP, CFO | M - OptEx | — | +13.4K | 206.3K | +7% | — |
| D | 2023-04-10 | 2023-04-06 | GNW | Upton Jerome T | EVP, CFO | F - Tax | $5.26 | -5,926 | 200.3K | -3% | -$31.2K |
| D | 2023-04-10 | 2023-04-06 | GNW | Upton Jerome T | EVP, CFO | M - OptEx | $0.00 | -13.4K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-04-06 | M | A | 13,405 | — | 206,271 | D | — | — | (F1) Restricted Stock Units settle in Class A Common Stock on a 1:1 basis. |
| 2 | Common | Class A Common Stock | 2023-04-06 | F | D | 5,926 | $5.26 | 200,345 | D | — | — | (F2) The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on April 6, 2023. |
| 3 | Derivative | Restricted Stock Units | 2023-04-06 | M | D | 13,405 | $0.00 | 0 | D | — · — to — | 13,405 Class A Common Stock | (F1) Restricted Stock Units settle in Class A Common Stock on a 1:1 basis. (F3) Restricted Stock Units vested and converted to Class A Common Stock on April 6, 2023. |