SEC Form 4 · accession 0001209191-17-059402
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly L Groh
Officer — EVP & Chief Financial Officer
Period of report
Nov 3, 2017
Accepted (ET)
Nov 6, 2017 · 4:16 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 | Nov 3, 2017 | M | 2,500 | — | A | 70,422 | D | |
| Class A Common StockF2 | Nov 3, 2017 | F | 1,193 | $3.39 | D | 69,229 | D | |
| Class A Common Stock | holding | — | — | — | 1,270 | 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 | — | Nov 3, 2017 | M | 2,500 | D | — | — | Class A Common Stock | 2,500 | 2,500 | 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 November 3, 2017.
- F3Restricted Stock Units vested and converted to Class A Common Stock on November 3, 2017.