Filing Details

Accession Number:
0001127602-15-020828
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-06-16 18:17:02
Reporting Period:
2015-06-15
Filing Date:
2015-06-16
Accepted Time:
2015-06-16 18:17:02
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
1591994 Stanley Daniel Perotti C/O Pennymac Financial Services, Inc.
6101 Condor Drive
Moorpark CA 93021
Chief Asset & Liability Mgt Of 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 2015-06-15 189 $19.25 1,072 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 $0.00 326,506 326,506 Direct
Class A Common Stock Nonstatutory Stock Option (Right to Buy) $21.03 2014-06-13 2023-06-12 2,523 2,523 Direct
Class A Common Stock Nonstatutory Stock Option (Right to Buy) $17.26 2015-02-26 2024-02-25 16,881 16,881 Direct
Class A Common Stock Nonstatutory Stock Option (Right to Buy) $17.52 2016-03-03 2025-03-02 16,481 16,481 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
326,506 326,506 Direct
2023-06-12 2,523 2,523 Direct
2024-02-25 16,881 16,881 Direct
2025-03-02 16,481 16,481 Direct
Footnotes
  1. 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 420 restricted stock units on June 13, 2015.
  2. The reported amount consists of 525 restricted stock units (RSUs) and 547 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.
  3. 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.
  4. This nonstatutory stock option to purchase 2,523 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of the first, second and third anniversaries of the grant date, subject to the Reporting Person's continued service through each date.
  5. This nonstatutory stock option to purchase 16,881 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.
  6. This nonstatutory stock option to purchase 16,481 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.