SEC Form 4 · accession 0001209191-19-010128
GENWORTH FINANCIAL INC · GNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ward E. Bobitz
Officer — EVP and General Counsel
Period of report
Feb 12, 2019
Accepted (ET)
Feb 14, 2019 · 4:15 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 | Feb 12, 2019 | M | 23,500 | $2.46 | A | 117,500 | D | |
| Class A Common Stock | Feb 12, 2019 | F | 12,540 | $4.61 | D | 104,960 | D | |
| Class A Common Stock | Feb 12, 2019 | F | 3,880 | $4.61 | D | 101,080 | D | |
| Class A Common Stock | holding | — | — | — | 167 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $2.46 | Feb 12, 2019 | M | 23,500 | D | Feb 12, 2010 | Feb 12, 2019 | Class A Common Stock | 23,500 | 0 | D |
Explanation of responses
- F1The stock options reported on this Form 4 were set to expire on February 12, 2019 but automatically exercised pursuant to the terms of the plan.
- F2The stock options became vested and exercisable in three annual installments beginning on February 12, 2010, and were fully vested and exercisable on February 12, 2012.