Filing Details
- Accession Number:
- 0001127602-19-032056
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-06 17:01:12
- Reporting Period:
- 2019-11-04
- Accepted Time:
- 2019-11-06 17:01:12
- 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 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2019-11-04 | 4,300 | $29.92 | 294,620 | No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
| Common Stock | Disposition | 2019-11-04 | 700 | $30.72 | 293,920 | No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
| Common Stock | Disposition | 2019-11-05 | 5,000 | $30.34 | 288,920 | No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
| No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
| No | 4 | S | Indirect | The McCallion Family Trust dated 12/21/98 |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 12,074 | Direct |
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 price reported is the weighted average price of multiple transactions ranging from $29.54 to $30.515. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
- The price reported is the weighted average price of multiple transactions ranging from $30.54 to $31.07. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
- The price reported is the weighted average price of multiple transactions ranging from $30.01 to $30.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
- The reported amount consists of 12,074 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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