SEC Form 4 · accession 0001209191-15-049289
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin P Klein
Officer — EVP & Chief Financial Officer
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 8:21 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001276520
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Jun 1, 2015 | M | 33,333 | — | A | 95,049 | D | |
| Class A Common StockF2 | Jun 1, 2015 | F | 15,900 | $7.82 | D | 79,149 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Jun 1, 2015 | M | 33,333 | D | — | — | Class A Common Stock | 33,333 | 0 | D |
Explanation of responses
- F1Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.
- F2The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on 06/01/2015.
- F3Restricted Stock Units vested and converted to Class A Common Stock on 06/01/2015.