Upton Jerome T. - 06 Apr 2023 Form 4 Insider Report for GENWORTH FINANCIAL INC (GNW)

Reporting relationship: EVP & Chief Financial Officer
Issuer ticker: GNW
Reported as of: 06 Apr 2023
Net transaction value: -$31,171
SEC form: 4
Accepted by SEC: 10 Apr 2023, 16:18:03 UTC
Prior SEC filing: 27 Mar 2023
Next SEC filing: 21 Feb 2024
Source filing: View source filing
Reporting owner signature: /s/ David F. Kurzawa, by power of attorney

Key filing fact

Upton Jerome T. filed Form 4 for GENWORTH FINANCIAL INC (GNW) on 10 Apr 2023.

Key facts

This page summarizes Upton Jerome T.'s Form 4 filing for GENWORTH FINANCIAL INC (GNW).
3 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 10 Apr 2023, 16:18.

Change

Previous filing in this sequence was filed on 27 Mar 2023.
Current net transaction value: -$31,171.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GNW transaction

Class A Common Stock

Options Exercise

Transaction value
Shares: +13,405
Change %: +7%
Price
Shares after: 206,271
Date: 06 Apr 2023
Ownership: Direct
Footnotes: F1

GNW transaction

Class A Common Stock

Tax liability

Transaction value: $31,171
Shares: -5,926
Change %: -2.9%
Price: $5.26
Shares after: 200,345
Date: 06 Apr 2023
Ownership: Direct
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

GNW transaction Derivative

Restricted Stock Units

Options Exercise

Transaction value: $0
Shares: -13,405
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2023
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 13,405
Exercise price
Footnotes: F1, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

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

Footnote 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.

Footnote F3

Restricted Stock Units vested and converted to Class A Common Stock on April 6, 2023.