SEC Form 4 · accession 0001209191-17-012773

GENWORTH FINANCIAL INC · GNW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP and General Counsel

Period of report

Feb 18, 2017

Accepted (ET)

Feb 21, 2017 · 5:06 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 Stock^F1	Feb 18, 2017	M	30,000	—	A	50,650	D
Class A Common Stock^F2	Feb 18, 2017	F	9,930	$4.01	D	40,720	D
Class A Common Stock^F1	Feb 20, 2017	M	1,350	—	A	42,070	D
Class A Common Stock^F3	Feb 20, 2017	F	447	$4.01	D	41,623	D
Class A Common Stock^F1	Feb 20, 2017	M	8,333	—	A	49,956	D
Class A Common Stock^F3	Feb 20, 2017	F	2,759	$4.01	D	47,197	D
Class A Common Stock	holding	—	—		—	168	I	by 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F4	—	Feb 18, 2017	M	30,000	D	—	—	Class A Common Stock	30,000	60,000	D
Restricted Stock Units^F1,F5	—	Feb 20, 2017	M	1,350	D	—	—	Class A Common Stock	1,350	1,350	D
Restricted Stock Units^F1,F5	—	Feb 20, 2017	M	8,333	D	—	—	Class A Common Stock	8,333	8,333	D

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 18, 2017.
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 20, 2017.
F4Restricted Stock Units vested and converted to Class A Common Stock on February 18, 2017.
F5Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.