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Roday Leon EFORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5OMB APPROVALOMB Number:
3235-0287
Estimated average burden
hours per response:
0.5OMB Number:3235-0287Estimated average burdenhours per response:Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).1. Name and Address of Reporting Person*Roday Leon E
(Last)
(First)
(Middle)
C/O GENWORTH FINANCIAL, INC.
6620 WEST BROAD STREET
(Street)
RICHMOND
VA
23230
(City)
(State)
(Zip)(Last)(First)(Middle)C/O GENWORTH FINANCIAL, INC.6620 WEST BROAD STREETRICHMONDVA(City)(State)(Zip)2. Issuer Name and Ticker or Trading Symbol
GENWORTH FINANCIAL INC
[ GNW ]5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
SVP, Gen. Counsel & SecretaryDirector10% OwnerXOfficer (give title below)Other (specify below)SVP, Gen. Counsel & Secretary3. Date of Earliest Transaction
(Month/Day/Year)
08/06/20134. If Amendment, Date of Original Filed
(Month/Day/Year)6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting PersonForm filed by One Reporting PersonForm filed by More than One Reporting PersonTable I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned1. Title of Security (Instr.
3)2. Transaction Date
(Month/Day/Year)2A. Deemed Execution Date, if any
(Month/Day/Year)3. Transaction Code (Instr.
8)4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)7. Nature of Indirect Beneficial Ownership (Instr.
4)CodeVAmount(A) or (D)PriceClass A Common Stock08/06/2013SD$12.9282(1)ITrust for ChildTable II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)1. Title of Derivative Security (Instr.
3)2. Conversion or Exercise Price of Derivative Security3. Transaction Date
(Month/Day/Year)3A. Deemed Execution Date, if any
(Month/Day/Year)4. Transaction Code (Instr.
8)5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)6. Date Exercisable and Expiration Date
(Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)8. Price of Derivative Security (Instr.
5)9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)11. Nature of Indirect Beneficial Ownership (Instr.
4)(A)(D)Date ExercisableExpiration DateTitleAmount or Number of SharesExplanation of Responses:1. Price indicated is the weighted average sales price as a result of a series of broker-assisted transactions ranging in price from $12.90 to $12.955 per share. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range upon request by the SEC staff, the issuer, or any security holder of the issuer.Remarks: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 attorney08/07/2013** Signature of Reporting PersonDateReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v).** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.PK ! " docProps/app.xml
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2020-01-22T23:19:42Z2020-01-22T23:19:42ZPK ! t7 7 [Content_Types].xml
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