Filing Details
- Accession Number:
- 0001127602-19-011092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-12 17:42:22
- Reporting Period:
- 2019-03-08
- Accepted Time:
- 2019-03-12 17:42:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1745916 | Pennymac Financial Services Inc. | PFSI | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1232611 | Anne Mccallion | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Chief Enterprise Ops Officer | Yes | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2019-03-08 | 1,963 | $22.12 | 9,882 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-03-11 | 793 | $22.33 | 9,089 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2019-03-12 | 1,500 | $22.43 | 7,589 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 430,720 | Indirect | The McCallion Family Trust dated 12/21/98 |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $21.03 | 2014-06-13 | 2023-06-12 | 15,882 | 15,882 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.26 | 2015-02-26 | 2024-02-25 | 28,216 | 28,216 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.52 | 2016-03-03 | 2025-03-02 | 23,829 | 23,829 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $11.28 | 2017-03-07 | 2026-03-06 | 27,771 | 27,771 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $18.05 | 2018-03-06 | 2027-03-05 | 22,506 | 22,506 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $24.40 | 2019-03-09 | 2028-03-08 | 17,204 | 17,204 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 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 |
| 2027-03-05 | 22,506 | 22,506 | Direct |
| 2028-03-08 | 17,204 | 17,204 | Direct |
Footnotes
- These shares of Common Stock were sold pursuant to a 10b5-1 plan.
- The reported amount consists of 9,882 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- Represents shares withheld for taxes upon vesting of restricted stock units.
- The reported amount consists of 7,589 restricted stock units and 1,500 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- The reported amount consists of 7,589 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- This nonstatutory stock option to purchase 15,882 shares of 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 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 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 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.
- This nonstatutory stock option to purchase 22,506 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
- This nonstatutory stock option to purchase 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
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