Filing Details
- Accession Number:
- 0001127602-15-020826
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-16 19:14:25
- Reporting Period:
- 2015-06-15
- Filing Date:
- 2015-06-16
- Accepted Time:
- 2015-06-16 18:14:25
- 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 | 2015-06-15 | 141 | $19.25 | 3,138 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 27,394 | 27,394 | Direct | ||
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 | Nonstatutory Stock Option (Right to Buy) | $17.52 | 2016-03-03 | 2025-03-02 | 3,032 | 3,032 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
27,394 | 27,394 | Direct | |
2023-06-12 | 2,018 | 2,018 | Direct |
2024-02-25 | 3,077 | 3,077 | Direct |
2025-03-02 | 3,032 | 3,032 | 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 336 restricted stock units on June 13, 2015.
- The reported amount consists of 2,705 restricted stock units (RSUs) and 433 shares of Class A Common Stock. The RSUs are to be settled in an equal number of shares of Class A Common Stock 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 the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.
- 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.
- This nonstatutory stock option to purchase 3,032 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.