Filing Details

Accession Number:
0001127602-18-011173
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-12 16:14:28
Reporting Period:
2018-03-09
Accepted Time:
2018-03-12 16:14:28
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
1469142 Matthew Botein C/O Pennymac Financial Services, Inc.
3043 Townsgate Road
Westlake Village CA 91361
Yes No 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 2018-03-09 860 $24.70 23,881 No 4 S Direct
Class A Common Stock Acquisiton 2018-03-09 3,975 $0.00 27,856 No 4 A Direct
Class A Common Stock Disposition 2018-03-12 1,235 $24.45 26,621 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 A Direct
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 2013-11-05 818,552 818,552 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
818,552 818,552 Direct
Footnotes
  1. These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
  2. The reported amount consists of 7,667 restricted stock units and 16,214 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  3. The Reporting Person was granted 3,975 restricted stock units in connection with his service as a director. The restricted stock units, which vest in three equal installments beginning on the first anniversary of the grant date, are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  4. The reported amount consists of 11,642 restricted stock units and 16,214 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  5. The reported amount consists of 11,642 restricted stock units and 14,979 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  6. 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 PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.
  7. N/A