SEC Form 4 · accession 0001209191-18-020172
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J Sheehan IV
Officer — EVP - Chief Investment Officer
Period of report
Mar 15, 2018
Accepted (ET)
Mar 16, 2018 · 4:19 pm EDT
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 | Mar 15, 2018 | M | 67,334 | — | A | 307,055 | D | |
| Class A Common StockF2 | Mar 15, 2018 | F | 31,203 | $2.94 | D | 275,852 | D |
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 | — | Mar 15, 2018 | M | 67,334 | D | — | — | Class A Common Stock | 67,334 | 134,666 | 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 March 15, 2018.
- F3Restricted Stock Units vested and converted to Class A Common Stock on March 15, 2018.