SEC Form 4/A · accession 0001209191-17-015229
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ward E. Bobitz
Officer — EVP and General Counsel
Period of report
Feb 20, 2017
Accepted (ET)
Feb 28, 2017 · 4:06 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 StockF1 | Feb 20, 2017 | M | 1,350 | — | A | 22,000 | D | |
| Class A Common StockF2 | Feb 20, 2017 | F | 447 | $4.01 | D | 21,553 | D | |
| Class A Common StockF1 | Feb 20, 2017 | M | 8,333 | — | A | 29,886 | D | |
| Class A Common StockF2 | Feb 20, 2017 | F | 2,759 | $4.01 | D | 27,127 | D | |
| Class A Common StockF3,F1 | Feb 25, 2017 | M | 30,000 | — | A | 57,127 | D | |
| Class A Common StockF3,F4 | Feb 25, 2017 | F | 9,930 | $4.04 | D | 47,197 | D | |
| Class A Common Stock | holding | — | — | — | 168 | 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,F5 | — | Feb 20, 2017 | M | 1,350 | D | — | — | Class A Common Stock | 1,350 | 1,350 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 20, 2017 | M | 8,333 | D | — | — | Class A Common Stock | 8,333 | 8,333 | D |
| Restricted Stock UnitsF3,F1,F6 | — | Feb 25, 2017 | M | 30,000 | D | — | — | Class A Common Stock | 30,000 | 60,000 | 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, 2017.
- F3This amendment is being filed to amend the Form 4 filed by the Reporting Person on February 21, 2017 to correct an inadvertent administrative error reporting the Transaction Date as February 18, 2017. The correct Transaction Date, together with a minor adjustment to the number of shares withheld for tax purposes, are reflected in this amended filing.
- F4The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on February 25, 2017.
- F5Restricted Stock Units vested and converted to Class A Common Stock on February 20, 2017.
- F6Restricted Stock Units vested and converted to Class A Common Stock on February 25, 2017.
Remarks
This amended Form 4 is filed to accurately report a Transaction Date of February 25, 2017 for certain restricted stock units. The previously described administrative error did not impact the transactions reported for February 20, 2017.