0000909518-05-000210.txt : 20120622
0000909518-05-000210.hdr.sgml : 20120622
20050331120351
ACCESSION NUMBER: 0000909518-05-000210
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050331
DATE AS OF CHANGE: 20050331
GROUP MEMBERS: GEI, INC.
GROUP MEMBERS: GENERAL ELECTRIC CAPITAL CORPORATION
GROUP MEMBERS: GENERAL ELECTRIC CAPITAL SERVICES, INC.
GROUP MEMBERS: GENERAL ELECTRIC COMPANY
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GENWORTH FINANCIAL INC
CENTRAL INDEX KEY: 0001276520
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 331073076
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-79892
FILM NUMBER: 05717730
MAIL ADDRESS:
STREET 1: 6620 WEST BROAD STREET
CITY: RICHMOND
STATE: VA
ZIP: 23230
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: GE FINANCIAL ASSURANCE HOLDINGS INC
CENTRAL INDEX KEY: 0001049537
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 541829180
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 6604 WEST BROAD ST
CITY: RICHMOND
STATE: VA
ZIP: 23230
BUSINESS PHONE: 2039615078
MAIL ADDRESS:
STREET 1: 6604 WEST BROAD ST
CITY: RICHMOND
STATE: VA
ZIP: 23230
FORMER COMPANY:
FORMER CONFORMED NAME: GE FINANCIAL ASSURANCES HOLDINGS INC
DATE OF NAME CHANGE: 19971117
SC 13G/A
1
mv3-31_13ga.txt
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
--------------
SCHEDULE 13G
(RULE 13D-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13D-1(B), (C) AND (D) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13D-2(B)
(AMENDMENT NO. 1)*
GENWORTH FINANCIAL, INC.
--------------------------------------------------------------------------------
(Name of Issuer)
Class A Common Stock, $.001 par value per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
37247D106
--------------------------------------------------------------------------------
(CUSIP Number)
March 30, 2005
--------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Exchange Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
Page 1
--------------------------------------- ----------------------------------------------
CUSIP No. 37247D106 13G Page 2
--------------------------------------- ----------------------------------------------
---------------- ------------------------------------------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
GE Financial Assurance Holdings, Inc.
54-1829180
---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
243,216,559
-------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
-------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
51.7%
---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
---------------- ------------------------------------------------------------------------------------------------------------------
Page 2
--------------------------------------- ----------------------------------------------
CUSIP No. 37247D106 13G Page 3
--------------------------------------- ----------------------------------------------
---------------- ------------------------------------------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
GEI, Inc.
75-1545331
---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
243,216,559
-------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
-------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
51.7%
---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
---------------- ------------------------------------------------------------------------------------------------------------------
Page 3
--------------------------------------- ----------------------------------------------
CUSIP No. 37247D106 13G Page 4
--------------------------------------- ----------------------------------------------
---------------- ------------------------------------------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
General Electric Capital Corporation
13-1500700
---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
243,216,559
-------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
-------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
51.7%
---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
---------------- ------------------------------------------------------------------------------------------------------------------
Page 4
--------------------------------------- ----------------------------------------------
CUSIP No. 37247D106 13G Page 5
--------------------------------------- ----------------------------------------------
---------------- ------------------------------------------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
General Electric Capital Services, Inc.
06-1109503
---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
243,216,559
-------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
-------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
51.7%
---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
---------------- ------------------------------------------------------------------------------------------------------------------
Page 5
--------------------------------------- ----------------------------------------------
CUSIP No. 37247D106 13G Page 6
--------------------------------------- ----------------------------------------------
---------------- ------------------------------------------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
General Electric Company
14-0689340
---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
-------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
243,216,559
-------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
-------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
243,216,559
---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
51.7%
---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
---------------- ------------------------------------------------------------------------------------------------------------------
Page 6
This Amendment No. 1 to Schedule 13G with respect to Genworth
Financial, Inc. is being filed by GE Financial Assurance Holdings, Inc., GEI,
Inc., General Electric Capital Corporation, General Electric Capital Services,
Inc. and General Electric Company (collectively, the "Reporting Persons") to
amend the Schedule 13G (the "Schedule 13G") originally filed by the Reporting
Persons on February 14, 2005. Capitalized terms used but not defined herein have
the meanings assigned to such terms in the Schedule 13G.
ITEM 4. OWNERSHIP.
(a)-(c) The responses of the Reporting Persons to Rows 5, 6, 7, 8, 9
and 11 in each of their respective cover pages to this Schedule 13G are
incorporated herein by reference. As of March 30, 2005, GEFAHI was the direct
beneficial owner of 243,216,559 shares of the Company's Class B Common Stock.
GE, indirectly through subsidiaries, may be deemed to have beneficial ownership
of these shares.
The Class B Common Stock may be owned only by GE and its affiliates.
Upon any sale or other disposition by GE and its affiliates of shares of Class B
Common Stock to any person other than GE or an affiliate of GE, such shares of
Class B Common Stock automatically convert into shares of Class A Common Stock.
In addition, on the first date on which GE and its affiliates no longer
beneficially owns at least 10% of the aggregate number of shares of Class A
Common Stock and Class B Common Stock outstanding, all outstanding shares of
Class B Common Stock automatically convert into shares of Class A Common Stock.
Shares of Class B Common Stock convert into shares of Class A Common Stock on a
share-for-share basis.
Accordingly, as of March 30, 2005, each of the Reporting Persons
beneficially owned 243,216,559 shares of Class A Common Stock, representing
approximately 51.7% of the outstanding shares of Class A Common Stock determined
in accordance with Rule 13d-3 under the Securities Exchange Act (based on (i)
227,019,954 shares of Class A Common Stock reported as outstanding as of March
30, 2005, by the Company in its Prospectus filed March 23, 2005, plus (ii)
243,216,559 shares of Class A Common Stock issuable upon conversion of the
shares of Class B Common Stock beneficially owned by the Reporting Persons).
Page 7
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
Dated: March 31, 2005
GE FINANCIAL ASSURANCE HOLDINGS, INC.
By: /s/ Briggs Tobin
---------------------------------------------
Name: Briggs Tobin
Title: Attorney-in-fact
GEI, INC.
By: /s/ Briggs Tobin
---------------------------------------------
Name: Briggs Tobin
Title: Attorney-in-fact
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Briggs Tobin
---------------------------------------------
Name: Briggs Tobin
Title: Attorney-in-fact
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Briggs Tobin
---------------------------------------------
Name: Briggs Tobin
Title: Attorney-in-fact
GENERAL ELECTRIC COMPANY
By: /s/ Briggs Tobin
---------------------------------------------
Name: Briggs Tobin
Title: Attorney-in-fact
Page 8