SEC Form 4 · accession 0001209191-16-099231
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ward E. Bobitz
Officer — EVP and General Counsel
Period of report
Feb 14, 2016
Accepted (ET)
Feb 17, 2016 · 4:30 pm EST
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 | Feb 14, 2016 | M | 850 | — | A | 12,589 | D | |
| Class A Common StockF2 | Feb 14, 2016 | F | 327 | $1.75 | D | 12,262 | D | |
| Class A Common StockF1 | Feb 15, 2016 | M | 1,887 | — | A | 14,149 | D | |
| Class A Common StockF3 | Feb 15, 2016 | F | 725 | $1.75 | D | 13,424 | D | |
| Class A Common Stock | holding | — | — | — | 173 | I | by 401(k) |
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,F4 | — | Feb 14, 2016 | M | 850 | D | — | — | Class A Common Stock | 850 | 0 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 15, 2016 | M | 1,887 | D | — | — | Class A Common Stock | 1,887 | 1,887 | 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 February 14, 2016.
- F3The 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, 2016.
- F4Restricted Stock Units vested and converted to Class A Common Stock on February 14, 2016.
- F5Restricted Stock Units vested and converted to Class A Common Stock on February 15, 2016.