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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. 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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right | $ 20.1445 | 11/02/2006 | M | 183,129 | (3) | 09/12/2013 | Class A Common Stock | 183,129 | (4) | 122,084 | D | ||||
Stock Option (right to buy) | $ 22.6681 | 11/02/2006 | M | 121,000 | (5) | 09/26/2011 | Class A Common Stock | 121,000 | (4) | 35,520 | D | ||||
Stock Option (right to buy) | $ 22.6681 | 11/03/2006 | M | 35,520 | (5) | 09/26/2011 | Class A Common | 35,520 | (4) | 0 | D | ||||
Stock Option (right to buy) | $ 25.3829 | 11/03/2006 | M | 211,301 | (6) | 09/10/2009 | Class A Common | 211,301 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRAIZER MICHAEL D C/O GENWORTH FINANCIAL, INC. 6620 WEST BROAD STREET RICHMOND, VA 23230 |
X | Chairman, President & CEO |
/s/ Richard J. Oelhafen, Jr., Attorney-in-Fact | 11/06/2006 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Price indicated is the weighted average sales price as a result of a series of broker-assisted transactions ranging in price from $32.84 to $32.89 per share. |
(2) | Price indicated is the weighted average sales price as a result of a series of broker-assisted transactions ranging in price from $32.76 to $33.06 per share. |
(3) | Vested 20% annual increments on 9/12/2004, 9/12/2005 and 9/12/2006. |
(4) | Not Applicable. |
(5) | Vested 50% on 9/26/2004 and 50% on 9/26/2006. |
(6) | Vested 50% on 5/25/2004 and 50% on 9/10/2004. |
Remarks: All of the sales reported on this Form 4 were in connection with broker-assisted cashless exercises of stock options (which were previously converted from stock option grants by General Electric Company) to cover the aggregate exercise price and applicable tax withholding. The net shares received by the reporting person for exercise of stock options and stock settled stock appreciation rights are subject to the issuer's 9-month holding period policy. |