Filing Details
- Accession Number:
- 0001127602-15-008770
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-27 15:24:22
- Reporting Period:
- 2015-02-26
- Filing Date:
- 2015-02-27
- Accepted Time:
- 2015-02-27 15:24:22
- 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 |
---|---|---|---|---|---|---|---|
1486334 | L Gregory Hendry | C/O Pennymac Financial Services, Inc. 6101 Condor Drive Moorpark CA 93021 | Evp, Chief Accounting Officer | No | Yes | 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 | 2015-02-26 | 173 | $17.34 | 2,067 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class B Common Stock | 1 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $21.03 | 2014-06-13 | 2023-06-12 | 2,018 | 2,018 | Direct |
Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.26 | 2015-02-26 | 2024-02-25 | 3,077 | 3,077 | Direct |
Class A Common Stock | Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC | $0.00 | 27,394 | 27,394 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2023-06-12 | 2,018 | 2,018 | Direct |
2024-02-25 | 3,077 | 3,077 | Direct |
27,394 | 27,394 | Direct |
Footnotes
- The common shares of beneficial interest were sold pursuant to a 10b5-1 plan in order to pay estimated tax obligations resulting from the vesting of 411 restricted stock units on February 26, 2015.
- The reported amount consists of 1,829 restricted stock units (RSUs) and 238 common shares of beneficial interest. The RSUs are to be settled in an equal number of common shares of beneficial interest upon vesting.
- This nonstatutory stock option to purchase 2,018 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
- This nonstatutory stock option to purchase 3,077 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
- 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 the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.