Filing Details

Accession Number:
0001127602-17-008035
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-23 18:35:29
Reporting Period:
2017-02-21
Filing Date:
2017-02-23
Accepted Time:
2017-02-23 18:35:29
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 2017-02-21 3,000 $18.50 15,000 No 4 S Indirect The Grogin Living Trust dtd 12-19-01
Class A Common Stock Disposition 2017-02-22 3,000 $18.23 12,000 No 4 S Indirect The Grogin Living Trust dtd 12-19-01
Class A Common Stock Disposition 2017-02-23 3,000 $18.29 9,000 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
  1. These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
  2. The price reported is the weighted average price of multiple transactions ranging from $18.30 to $18.65. 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.
  3. The price reported is the weighted average price of multiple transactions ranging from $18.15 to $18.30. 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.
  4. The price reported is the weighted average price of multiple transactions ranging from $18.10 to $18.475. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. 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.