401k Plan data: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN plan

GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 401k Plan overview

Plan Name	GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN
Plan identification number	001

GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.

401k Sponsoring company profile

GENWORTH FINANCIAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: GENWORTH FINANCIAL, INC.

Employer identification number (EIN): 331073076

NAIC Classification: 524140

Additional information about GENWORTH FINANCIAL, INC.

Jurisdiction of Incorporation: Florida Department of State Division of Corporations

Incorporation Date: 2003-11-19

Company Identification Number: P03000136975

Legal Registered Office Address: 1201 HAYS ST

TALLAHASSEE

32301

More information about GENWORTH FINANCIAL, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 MICHAEL J. MOORE
001 2010-01-01 MICHAEL J. MOORE
001 2009-01-01 MICHAEL J. MOORE

Plan id#	Filing Submission Date	Name of Administrator
001	2011-01-01	MICHAEL J. MOORE
001	2010-01-01	MICHAEL J. MOORE
001	2009-01-01	MICHAEL J. MOORE

Plan Statistics for GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN

401k plan membership statisitcs for GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN

Measure Date Value
2011: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 7,262
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 5,650
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 1,628
Total of all active and inactive participants 2011-01-01 7,278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 18
Total participants 2011-01-01 7,296
Number of participants with account balances 2011-01-01 6,346
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 173
2010: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 6,908
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 5,828
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1,417
Total of all active and inactive participants 2010-01-01 7,245
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 17
Total participants 2010-01-01 7,262
Number of participants with account balances 2010-01-01 6,203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 113
2009: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7,087
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5,414
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1,478
Total of all active and inactive participants 2009-01-01 6,892
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 16
Total participants 2009-01-01 6,908
Number of participants with account balances 2009-01-01 5,976
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 343

Measure	Date	Value
2011: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	7,262
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	5,650
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	1,628
Total of all active and inactive participants	2011-01-01	7,278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	18
Total participants	2011-01-01	7,296
Number of participants with account balances	2011-01-01	6,346
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	173
2010: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	6,908
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	5,828
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1,417
Total of all active and inactive participants	2010-01-01	7,245
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	17
Total participants	2010-01-01	7,262
Number of participants with account balances	2010-01-01	6,203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	113
2009: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7,087
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5,414
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1,478
Total of all active and inactive participants	2009-01-01	6,892
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	16
Total participants	2009-01-01	6,908
Number of participants with account balances	2009-01-01	5,976
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	343

Financial Data on GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN

Measure	Date	Value
2011 : GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-9,814,583
Total unrealized appreciation/depreciation of assets	2011-12-31	$-9,814,583
Total transfer of assets to this plan	2011-12-31	$18,821
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$527,423
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$77,479
Total income from all sources (including contributions)	2011-12-31	$58,692,209
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$37,401,999
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$37,399,383
Expenses. Certain deemed distributions of participant loans	2011-12-31	$2,616
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$67,982,387
Value of total assets at end of year	2011-12-31	$414,694,360
Value of total assets at beginning of year	2011-12-31	$392,935,385
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$454,326
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$2,575,611
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$2,575,611
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$32,278,426
Participant contributions at end of year	2011-12-31	$9,025,918
Participant contributions at beginning of year	2011-12-31	$8,523,222
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,079,915
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$44,816
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$52,601
Liabilities. Value of operating payables at end of year	2011-12-31	$527,423
Liabilities. Value of operating payables at beginning of year	2011-12-31	$77,479
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$21,290,210
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$414,166,937
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$392,857,906
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$137,208,495
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$129,985,550
Interest on participant loans	2011-12-31	$454,070
Value of interest in common/collective trusts at end of year	2011-12-31	$242,732,631
Value of interest in common/collective trusts at beginning of year	2011-12-31	$209,456,841
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$433,956
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$617,628
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$617,628
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$256
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-6,204,358
Net investment gain or loss from common/collective trusts	2011-12-31	$3,698,826
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$11,309,852
Assets. Invements in employer securities at beginning of year	2011-12-31	$21,349,149
Contributions received in cash from employer	2011-12-31	$34,624,046
Employer contributions (assets) at end of year	2011-12-31	$13,938,692
Employer contributions (assets) at beginning of year	2011-12-31	$22,950,394
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$37,399,383
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	KPMG LLP
Accountancy firm EIN	2011-12-31	135565207
2010 : GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$3,660,276
Total unrealized appreciation/depreciation of assets	2010-12-31	$3,660,276
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$77,479
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$57,739
Total income from all sources (including contributions)	2010-12-31	$107,594,069
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$22,071,939
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$22,071,939
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$68,569,982
Value of total assets at end of year	2010-12-31	$392,935,385
Value of total assets at beginning of year	2010-12-31	$307,393,515
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$425,288
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$2,351,160
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$2,351,160
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$30,246,892
Participant contributions at end of year	2010-12-31	$8,523,222
Participant contributions at beginning of year	2010-12-31	$6,240,051
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,948,240
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$52,601
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$242,376
Liabilities. Value of operating payables at end of year	2010-12-31	$77,479
Liabilities. Value of operating payables at beginning of year	2010-12-31	$57,739
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$85,522,130
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$392,857,906
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$307,335,776
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$129,985,550
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$100,662,258
Interest on participant loans	2010-12-31	$424,199
Value of interest in common/collective trusts at end of year	2010-12-31	$209,456,841
Value of interest in common/collective trusts at beginning of year	2010-12-31	$157,819,803
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$617,628
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$437,443
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$437,443
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,089
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$12,510,165
Net investment gain or loss from common/collective trusts	2010-12-31	$20,077,198
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$21,349,149
Assets. Invements in employer securities at beginning of year	2010-12-31	$20,251,351
Contributions received in cash from employer	2010-12-31	$36,374,850
Employer contributions (assets) at end of year	2010-12-31	$22,950,394
Employer contributions (assets) at beginning of year	2010-12-31	$21,740,233
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$22,071,939
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	KPMG LLP
Accountancy firm EIN	2010-12-31	135565207
2009 : GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN

2011: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: GENWORTH FINANCIAL INC. RETIREMENT AND SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	GENWORTH FINANCIAL, INC.
Employer identification number (EIN):	331073076
NAIC Classification:	524140

Jurisdiction of Incorporation:	Florida Department of State Division of Corporations
Incorporation Date:	2003-11-19
Company Identification Number:	P03000136975
Legal Registered Office Address:	1201 HAYS ST TALLAHASSEE 32301