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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 | ||||||||
Deferred Stock Units | (1) | 02/12/2009 | D | 18,989.9438 | (1) | (1) | Class A Common Stock | 18,989.9438 | (1) | 0 | D | ||||
Deferred Stock Units | (1) | 02/12/2009 | A | 18,989.9438 | (1) | (1) | Class A Common Stock | 18,989.9438 | (1) | 18,989.9438 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RIEPE JAMES S C/O GENWORTH FINANCIAL, INC 6620 WEST BROAD STREET RICHMOND, VA 23230 |
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/s/ Richard J. Oelhafen, Jr., by power of attorney | 02/17/2009 | |
**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) | The two reported transactions involved an amendment of outstanding Deferred Stock Units ("DSUs"), resulting in the deemed cancellation of the "old" DSUs and the grant of replacement DSUs. The "old" DSUs were payable in cash (based on the cash value of a share of Class A Common Stock) and were amended to be payable in shares of Class A Common Stock on a one-for-one basis. Payment will begin one year after termination of service as a director, and the Reporting Person has previously elected to receive such payment in one payment or in installments spread out for up to 10 years. |