Daniel J. Sheehan IV - 14 May 2021 Form 4 Insider Report for GENWORTH FINANCIAL INC (GNW)

Role
EVP, CFO and CIO
Signature
/s/ David F. Kurzawa, by power of attorney
Issuer symbol
GNW
Transactions as of
14 May 2021
Net transactions value
-$167,409
Form type
4
Filing time
17 May 2021, 16:17:32 UTC
Next filing
15 Sep 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 +90,090 +10% 970,880 14 May 2021 Direct F1
transaction GNW Class A Common Stock Tax liability $167,409 -41,748 -4.3% $4.01 929,132 14 May 2021 Direct F2

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 -90,090 -50% $0.000000 90,091 14 May 2021 Class A Common Stock 90,090 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.