Jerome T. Upton - Apr 6, 2023 Form 4 Insider Report for GENWORTH FINANCIAL INC (GNW)

Role
EVP & Chief Financial Officer
Signature
/s/ David F. Kurzawa, by power of attorney
Stock symbol
GNW
Transactions as of
Apr 6, 2023
Transactions value $
-$31,171
Form type
4
Date filed
4/10/2023, 04:18 PM
Previous filing
Mar 27, 2023
Next filing
Feb 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GNW Class A Common Stock Options Exercise +13.4K +6.95% 206K Apr 6, 2023 Direct F1
transaction GNW Class A Common Stock Tax liability -$31.2K -5.93K -2.87% $5.26 200K Apr 6, 2023 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 -13.4K -100% $0.00* 0 Apr 6, 2023 Class A Common Stock 13.4K 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 April 6, 2023.
F3 Restricted Stock Units vested and converted to Class A Common Stock on April 6, 2023.