SEC Form 4 · accession 0001209191-16-100910
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 20, 2016
Accepted (ET)
Feb 22, 2016 · 4:18 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 20, 2016 | M | 8,334 | — | A | 21,758 | D | |
| Class A Common StockF2 | Feb 20, 2016 | F | 3,201 | $1.98 | D | 18,557 | D | |
| Class A Common StockF1 | Feb 20, 2016 | M | 1,350 | — | A | 19,907 | D | |
| Class A Common StockF2 | Feb 20, 2016 | F | 519 | $1.98 | D | 19,388 | D | |
| Class A Common Stock | holding | — | — | — | 172 | 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,F3 | — | Feb 20, 2016 | M | 8,334 | D | — | — | Class A Common Stock | 8,334 | 16,666 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 20, 2016 | M | 1,350 | D | — | — | Class A Common Stock | 1,350 | 2,700 | 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 20, 2016.
- F3Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2016.