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GNW Genworth Financial Inc

5.985
-0.105 (-1.72%)
Last Updated: 18:31:30
Delayed by 15 minutes
Share Name Share Symbol Market Type
Genworth Financial Inc NYSE:GNW NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.105 -1.72% 5.985 6.06 5.98 6.04 705,344 18:31:30

Initial Statement of Beneficial Ownership (3)

20/04/2016 9:19pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Farney Matthew D

2. Date of Event Requiring Statement (MM/DD/YYYY)
4/15/2016 

3. Issuer Name and Ticker or Trading Symbol

GENWORTH FINANCIAL INC [GNW]

(Last)        (First)        (Middle)

C/O GENWORTH FINANCIAL, INC., 6620 WEST BROAD STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Vice President and Controller /

(Street)

RICHMOND, VA 23230       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Class A Common Stock   2339   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (RSUs)     (1)   (1) Class A Common Stock   900     (2) D    
Restricted Stock Units (RSUs)     (3)   (3) Class A Common Stock   1225     (2) D    
Restricted Stock Units (RSUs)     (4)   (4) Class A Common Stock   4350     (2) D    
Stock Settled SARs     (5) 2/20/2024   Class A Common Stock   7000   $15.23   D    
Stock Settled SARs     (6) 2/15/2023   Class A Common Stock   8250   $9.06   D    
Stock Settled SARs     (7) 2/14/2022   Class A Common Stock   4500   $8.88   D    
Stock Settled SARs     (8) 2/9/2021   Class A Common Stock   5000   $12.75   D    

Explanation of Responses:
( 1)  Vests and converts to Class A Common Stock in equal installments on each of 02/20/2017 and 02/20/2018.
( 2)  Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.
( 3)  Vests and converts to Class A Common Stock on 02/15/2017.
( 4)  Vests and converts to Class A Common Stock in equal installments on each of 03/20/2018 and 03/20/2019.
( 5)  Vested in equal annual installments on each of 02/20/2015 and 02/20/2016. Remaining award vests in equal annual installments on each of 02/20/2017 and 02/20/2018. The vested and unexercised portion of the SARs, if any, shall be automatically exercised if the closing price of the issuer's common stock equals or exceeds a specified "maximum share value" equal to $75.
( 6)  Vested in equal annual installments on each of 02/15/2014, 02/15/2015 and 02/15/2016. Remaining award vests on 02/15/2017. The vested and unexercised portion of the SARs, if any, shall be automatically exercised if the closing price of the issuer's common stock equals or exceeds a specified "maximum share value" equal to $75.
( 7)  Vested in equal annual installments on each of 02/14/2013, 02/14/2014, 02/14/2015 and 02/14/2016. The vested and unexercised portion of the SARs, if any, shall be automatically exercised if the closing price of the issuer's common stock equals or exceeds a specified "maximum share value" equal to $75.
( 8)  Vested in equal annual installments on each of 02/09/2012, 02/09/2013, 02/09/2014 and 02/09/2015. The vested and unexercised portion of the SARs, if any, shall be automatically exercised if the closing price of the issuer's common stock equals or exceeds a specified "maximum share value" equal to $75.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Farney Matthew D
C/O GENWORTH FINANCIAL, INC.
6620 WEST BROAD STREET
RICHMOND, VA 23230


Vice President and Controller

Signatures
/s/ David F. Kurzawa, by power of attorney 4/20/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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