Filing Details
- Accession Number:
- 0001127602-17-004159
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-06 18:37:56
- Reporting Period:
- 2017-02-02
- Filing Date:
- 2017-02-06
- Accepted Time:
- 2017-02-06 18:37:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1568669 | Pennymac Financial Services Inc. | PFSI | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1440697 | Jeffrey Grogin | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Calo | 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 | 2017-02-02 | 6,000 | $16.94 | 57,000 | No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
| Class A Common Stock | Disposition | 2017-02-03 | 6,000 | $17.84 | 51,000 | No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
| Class A Common Stock | Disposition | 2017-02-06 | 6,000 | $18.74 | 45,000 | No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
| No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
| No | 4 | S | Indirect | The Grogin Living Trust dtd 12-19-01 |
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 | 632,580 | 632,580 | Indirect | ||
| Class A Common Stock | Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC | $0.00 | 33,193 | 33,193 | Indirect | ||
| Class A Common Stock | Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC | $0.00 | 22,129 | 22,129 | Indirect | ||
| Class A Common Stock | Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC | $0.00 | 11,064 | 11,064 | Indirect | ||
| Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $21.03 | 2014-06-13 | 2023-06-12 | 15,882 | 15,882 | Direct |
| Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.26 | 2015-02-26 | 2024-02-25 | 28,216 | 28,216 | Direct |
| Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.52 | 2016-03-03 | 2025-03-02 | 23,829 | 23,829 | Direct |
| Class A Common Stock | Nonstatutory Stock Option (Right to Buy) | $11.28 | 2017-03-07 | 2026-03-06 | 27,771 | 27,771 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 632,580 | 632,580 | Indirect | |
| 33,193 | 33,193 | Indirect | |
| 22,129 | 22,129 | Indirect | |
| 11,064 | 11,064 | Indirect | |
| 2023-06-12 | 15,882 | 15,882 | Direct |
| 2024-02-25 | 28,216 | 28,216 | Direct |
| 2025-03-02 | 23,829 | 23,829 | Direct |
| 2026-03-06 | 27,771 | 27,771 | Direct |
Footnotes
- These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
- The price reported is the weighted average price of multiple transactions ranging from $16.80 to $17.025. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
- The price reported is the weighted average price of multiple transactions ranging from $17.55 to $18.05. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
- The price reported is the weighted average price of multiple transactions ranging from $18.55 to $18.80. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
- 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 15,882 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 28,216 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 23,829 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 27,771 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.
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