Jerome T. Upton - Apr 15, 2022 Form 3 Insider Report for GENWORTH FINANCIAL INC (GNW)

Role
SVP, Deputy CFO and Controller
Signature
/s/ David F. Kurzawa, by power of attorney
Stock symbol
GNW
Transactions as of
Apr 15, 2022
Transactions value $
$0
Form type
3
Date filed
4/18/2022, 04:16 PM
Next filing
May 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding GNW Class A Common Stock 116K Apr 15, 2022 Direct

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
holding GNW Restricted Stock Units (RSUs) Apr 15, 2022 Class A Common Stock 13.5K Direct F1, F2
holding GNW Restricted Stock Units (RSUs) Apr 15, 2022 Class A Common Stock 13.4K Direct F2, F3
holding GNW Restricted Stock Units (RSUs) Apr 15, 2022 Class A Common Stock 49.6K Direct F2, F4
holding GNW Restricted Stock Units (RSUs) Apr 15, 2022 Class A Common Stock 61.7K Direct F2, F5
holding GNW Stock Settled SARs Apr 15, 2022 Class A Common Stock 20K $9.06 Direct F6
holding GNW Stock Settled SARs Apr 15, 2022 Class A Common Stock 14K $15.23 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Vests and converts to Class A Common Stock on 5/16/2022.
F2 Restricted Stock Units settle in Class A Common Stock on a 1:1 basis.
F3 Vests and converts to Class A Common Stock on 4/7/2023.
F4 Vests and converts to Class A Common Stock in equal installments on each of 3/25/2023 and 3/25/2024.
F5 Vests and converts to Class A Common Stock in equal installments on each of 2/17/2023, 2/17/2024 and 2/17/2025.
F6 Vested in equal annual installments on each of 2/15/2014, 2/15/2015, 2/15/2016 and 2/15/2017. 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.
F7 Vested in equal annual installments on each of 2/20/2015, 2/20/2016, 2/20/2017 and 2/20/2018. 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.