SEC Form 4 · accession 0001209191-16-111561
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Riepe
Director
Period of report
Mar 31, 2016
Accepted (ET)
Apr 1, 2016 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001276520
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F1 | — | Mar 31, 2016 | A | 22,731 | A | — | — | Class A Common Stock | 22,731 | 204,787 | D |
Explanation of responses
- F1Deferred Stock Units become payable in shares of Class A Common Stock beginning one year after termination of service as a director. The Reporting Person has previously elected to receive such amount in a single payment or in payments spread out for up to 10 years.
- F2The number of Deferred Stock Units acquired represents a portion of the Reporting Person's annual retainer fee for service as a director and as Non-Executive Chairman and was based on a price of $2.8375 per share of Class A Common Stock.