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Filing Details

Accession Number:: 0001127602-16-055578
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-06-15 15:56:54
Reporting Period:: 2016-06-14

Filing Date:: 2016-06-15
Accepted Time:: 2016-06-15 15:56:54
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. 3043 Townsgate Road Westlake Village CA 91361	Chief Asset & Liability Mgt Of	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Disposition	2016-06-14	189	$13.52	883	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Derivative Holdings

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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	Indirect
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
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$11.28	2017-03-07	2026-03-06	16,615	16,615	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	326,506	326,506	Indirect
2023-06-12	2,523	2,523	Direct
2024-02-25	16,881	16,881	Direct
2025-03-02	16,481	16,481	Direct
2026-03-06	16,615	16,615	Direct

Footnotes

The shares of Class A Common Stock 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, 2016.
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, from and after the closing of PennyMac Financial, Inc,'s initial public offering, and after the expiration of a lock-up agreement.
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.
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.
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.
This nonstatutory stock option to purchase 16,615 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.