Rohit Gupta - May 14, 2021 Form 4 Insider Report for GENWORTH FINANCIAL INC (GNW)

Role
EVP - U.S. Mortgage Insurance
Signature
/s/ David F. Kurzawa, by power of attorney
Stock symbol
GNW
Transactions as of
May 14, 2021
Transactions value $
-$80,745
Form type
4
Date filed
5/17/2021, 04:16 PM
Next filing
May 27, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GNW Class A Common Stock Options Exercise +45K +35.81% 171K May 14, 2021 Direct F1
transaction GNW Class A Common Stock Tax liability -$80.7K -20.1K -11.79% $4.01 151K May 14, 2021 Direct F2
holding GNW Class A Common Stock 7.16K May 14, 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 -45K -50% $0.00 45K May 14, 2021 Class A Common Stock 45K 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.