Filing Details
- Accession Number:
- 0001127602-14-014831
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-18 19:28:43
- Reporting Period:
- 2014-04-16
- Filing Date:
- 2014-04-18
- Accepted Time:
- 2014-04-18 19:28:43
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1568669 | Pennymac Financial Services Inc. | PFSI | Mortgage Bankers & Loan Correspondents (6162) | 800882793 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1469142 | Matthew Botein | C/O Pennymac Financial Services, Inc. 6101 Condor Drive Moorpark CA 93021 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Disposition | 2014-04-16 | 4,900 | $16.49 | 66,459 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2014-04-17 | 6,200 | $16.34 | 60,259 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC | $0.00 | 2013-11-05 | 1,118,552 | 1,118,552 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1,118,552 | 1,118,552 | Direct |
Footnotes
- These common shares of beneficial interest were sold pursuant to a 10b5-1 plan.
- The price reported is the weighted average price of multiple transactions at prices ranging from $16.39 to $16.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.
- The price reported is the weighted average price of multiple transactions at prices ranging from $16.20 to $16.44. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.
- The reported amount consists of 4,459 restricted share units and 55,800 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting.
- Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments, from and after the closing of PennyMac Financial Services, Inc.'s initial public offering, and after the expiration of a lock-up agreement.
- N/A