Filing Details
- Accession Number:
- 0001127602-20-001378
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-09 17:26:15
- Reporting Period:
- 2020-01-07
- Accepted Time:
- 2020-01-09 17:26:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1468934 | M David Walker | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Chief Risk Officer | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-01-07 | 5,000 | $33.52 | 458,085 | No | 4 | S | Indirect | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| Common Stock | Disposition | 2020-01-08 | 5,000 | $33.24 | 453,085 | No | 4 | S | Indirect | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| No | 4 | S | Indirect | The Walker Trust 2002 Dated February 13, 2002, As Amended |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 41,937 | 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 | 17,313 | 17,313 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $24.40 | 2019-03-09 | 2028-03-08 | 13,233 | 13,233 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $22.92 | 2020-03-15 | 2029-03-14 | 13,879 | 13,879 | 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 | 17,313 | 17,313 | Direct |
| 2028-03-08 | 13,233 | 13,233 | Direct |
| 2029-03-14 | 13,879 | 13,879 | 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 $33.09 to $34.06. 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 $33.07 to $33.41. 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 11,389 restricted stock units and 30,548 shares of Common Stock. 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 17,313 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 13,233 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.
- This nonstatutory stock option to purchase 13,879 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.
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