Ward E. Bobitz - 14 May 2021 Form 4 Insider Report for GENWORTH FINANCIAL INC (GNW)

Role
EVP and General Counsel
Signature
/s/ David F. Kurzawa, by power of attorney
Issuer symbol
GNW
Transactions as of
14 May 2021
Net transactions value
-$61,100
Form type
4
Filing time
17 May 2021, 16:15:40 UTC
Next filing
28 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GNW Class A Common Stock Options Exercise +33,784 +9.8% 377,069 14 May 2021 Direct F1
transaction GNW Class A Common Stock Tax liability $61,100 -15,237 -4% $4.01 361,832 14 May 2021 Direct F2
holding GNW Class A Common Stock 169 14 May 2021 by 401(k)

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GNW Restricted Stock Units Options Exercise $0 -33,784 -50% $0.000000 33,784 14 May 2021 Class A Common Stock 33,784 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.
F2 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 14, 2021.
F3 Restricted Stock Units vested and converted to Class A Common Stock on May 14, 2021.