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GNW Genworth Financial Inc

5.99
-0.02 (-0.33%)
27 Apr 2024 - Closed
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
  -0.02 -0.33% 5.99 6.04 5.98 5.99 1,669,248 01:00:00

Statement of Changes in Beneficial Ownership (4)

18/05/2020 9:17pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
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 *

Groh Kelly L
2. Issuer Name and Ticker or Trading Symbol

GENWORTH FINANCIAL INC [ GNW ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP & Chief Financial Officer
(Last)          (First)          (Middle)

C/O GENWORTH FINANCIAL, INC., 6620 WEST BROAD STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

5/15/2020
(Street)

RICHMOND, VA 23230
(City)        (State)        (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 5/15/2020  M  90090 A (1)584321 D  
Class A Common Stock 5/15/2020  F  40631 (2)D$2.68 543690 D  
Class A Common Stock         1278.87 I by 401(k) 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)5/15/2020  M     90090   (3) (3)Class A Common Stock 90090 $0.00 180181 D  

Explanation of Responses:
(1) Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.
(2) The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on May 15, 2020.
(3) Restricted Stock Units vested and converted to Class A Common Stock on May 15, 2020.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Groh Kelly L
C/O GENWORTH FINANCIAL, INC.
6620 WEST BROAD STREET
RICHMOND, VA 23230


EVP & Chief Financial Officer

Signatures
/s/ David F. Kurzawa, by power of attorney5/18/2020
**Signature of Reporting PersonDate

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