Filing Details
- Accession Number:
- 0001127602-20-015461
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-05-05 16:54:37
- Reporting Period:
- 2020-05-01
- Accepted Time:
- 2020-05-05 16:54:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1440697 | Jeffrey Grogin | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Chief Enterprise Ops 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 | Acquisiton | 2020-05-01 | 2,317 | $17.26 | 31,078 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 2,300 | $21.03 | 33,378 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-01 | 4,617 | $29.24 | 28,761 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-05 | 156 | $17.26 | 28,917 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-05 | 4,453 | $21.03 | 33,370 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-05 | 4,609 | $29.35 | 28,761 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2020-05-01 | 2,317 | $0.00 | 2,317 | $17.26 |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2020-05-01 | 2,300 | $0.00 | 2,300 | $21.03 |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2020-05-05 | 156 | $0.00 | 156 | $17.26 |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2020-05-05 | 4,453 | $0.00 | 4,453 | $21.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,899 | 2015-02-26 | 2024-02-25 | No | 4 | M | Direct |
| 4,453 | 2014-06-13 | 2023-06-12 | No | 4 | M | Direct |
| 25,743 | 2015-02-26 | 2024-02-25 | No | 4 | M | Direct |
| 0 | 2014-06-13 | 2023-06-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 33,193 | Indirect | JBG Children's Trust utd 12/31/2000 |
| Common Stock | 22,129 | Indirect | MJG Children's Trust utd 12/31/2000 |
| Common Stock | 453,655 | Indirect | The Grogin Living Trust dtd 12-19-01 |
| Common Stock | 9,025 | Indirect | Grogin Giving Fund |
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) | $24.40 | 2019-03-09 | 2028-03-08 | 17,204 | 17,204 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $22.92 | 2020-03-15 | 2029-03-14 | 18,057 | 18,057 | 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) | $18.05 | 2018-03-06 | 2027-03-05 | 22,506 | 22,506 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $35.03 | 2021-02-26 | 2030-02-25 | 17,824 | 17,824 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-03-08 | 17,204 | 17,204 | Direct |
| 2029-03-14 | 18,057 | 18,057 | Direct |
| 2025-03-02 | 23,829 | 23,829 | Direct |
| 2027-03-05 | 22,506 | 22,506 | Direct |
| 2030-02-25 | 17,824 | 17,824 | Direct |
Footnotes
- The transaction reported was effected pursuant to a 10b5-1 plan.
- The reported amount consists of 12,286 restricted stock units and 18,792 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 12,286 restricted stock units and 21,092 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- 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 $29.00 to $29.56. 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 Common Stock and the prices at which the transactions were effected.
- The reported amount consists of 12,286 restricted stock units and 16,475 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 12,286 restricted stock units and 16,631 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 12,286 restricted stock units and 21,084 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- The price reported is the weighted average price of multiple transactions ranging from $29.01 to $29.71. 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 Common Stock and the prices at which the transactions were effected.
- 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 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 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.
- This nonstatutory stock option to purchase 18,057 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.
- 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 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 17,824 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date.
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