0001181431-13-043315.txt : 20130807 0001181431-13-043315.hdr.sgml : 20130807 20130807160738 ACCESSION NUMBER: 0001181431-13-043315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130806 FILED AS OF DATE: 20130807 DATE AS OF CHANGE: 20130807 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GENWORTH FINANCIAL INC CENTRAL INDEX KEY: 0001276520 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 800873306 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6620 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 BUSINESS PHONE: 804-281-6000 MAIL ADDRESS: STREET 1: 6620 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pehota Joseph CENTRAL INDEX KEY: 0001290510 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32195 FILM NUMBER: 131017571 MAIL ADDRESS: STREET 1: 3001 SUMMER STREET STREET 2: P.O. BOX 120031 CITY: STAMFORD STATE: CT ZIP: 06912 4 1 rrd387683.xml PEHOTA FORM 4 (8-6-13) X0306 4 2013-08-06 0 0001276520 GENWORTH FINANCIAL INC GNW 0001290510 Pehota Joseph C/O GENWORTH FINANCIAL, INC. 6620 WEST BROAD STREET RICHMOND VA 23230 0 1 0 0 SVP - Corporate Development Class A Common Stock 2013-08-06 4 M 0 16666 7.80 A 31188 D Class A Common Stock 2013-08-06 4 D 0 9962 13.05 D 21226 D Class A Common Stock 2013-08-06 4 F 0 2283 13.05 D 18943 D Class A Common Stock 1282.102 I By 401(k) Plan Stock Settled SARs 7.80 2013-08-06 4 M 0 16666 0 D 2012-08-19 2014-05-25 Class A Common Stock 16666 0 D The net shares received by the reporting person for the exercise of stock settled stock appreciation rights are subject to the issuer's 9-month holding period policy. On April 1, 2013, pursuant to a previously announced plan to implement a holding company reorganization, Genworth Financial, Inc., a Delaware corporation (formerly named Sub XLVI, Inc.), became the successor issuer to Genworth Holdings, Inc., a Delaware corporation (formerly named Genworth Financial, Inc.). /s/ Michael J. McCullough, by power of attorney 2013-08-07