Initial Statement of Beneficial Ownership (3)
January 04 2022 - 4:35PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Karawan Gregory S. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2022
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3. Issuer Name and Ticker or Trading Symbol
GENWORTH FINANCIAL INC [GNW]
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(Last)
(First)
(Middle)
C/O GENWORTH FINANCIAL, INC., 6620 WEST BROAD STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP and General Counsel / |
(Street)
RICHMOND, VA 23230
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 4807.0419 | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (RSUs) | (1) | (1) | Class A Common Stock | 1956 | (2) | D | |
Restricted Stock Units (RSUs) | (3) | (3) | Class A Common Stock | 9460 | (2) | D | |
Restricted Stock Units (RSUs) | (4) | (4) | Class A Common Stock | 31278 | (2) | D | |
Restricted Stock Units (RSUs) | (5) | (5) | Class A Common Stock | 52084 | (2) | D | |
Stock Settled SARs | (6) | 2/14/2022 | Class A Common Stock | 17700 | $8.88 | D | |
Stock Settled SARs | (7) | 2/15/2023 | Class A Common Stock | 19000 | $9.06 | D | |
Stock Settled SARs | (8) | 2/20/2024 | Class A Common Stock | 20000 | $15.23 | D | |
Explanation of Responses: |
(1) | Vests and converts to Class A Common Stock on 6/6/2029. |
(2) | Restricted Stock Units settle in Class A Common Stock on a 1:1 basis. |
(3) | Vests and converts to Class A Common Stock on 5/16/2022. |
(4) | Vests and converts to Class A Common Stock in equal installments on each of 4/7/2022 and 4/7/2023. |
(5) | Vests and converts to Class A Common Stock in equal installments on each of 3/25/2022, 3/25/2023 and 3/25/2024. |
(6) | Vested in equal annual installments on each of 2/14/2013, 2/14/2014, 2/14/2015 and 2/14/2016. 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. |
(7) | 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. |
(8) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Karawan Gregory S. C/O GENWORTH FINANCIAL, INC. 6620 WEST BROAD STREET RICHMOND, VA 23230 |
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| EVP and General Counsel |
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Signatures
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/s/ David F. Kurzawa, by power of attorney | | 1/4/2022 |
**Signature of Reporting Person | Date |
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